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Previous: ARROW INTERNATIONAL INC, S-8, EX-23.1, 2000-12-22 |
Next: GOLDMAN SACHS GROUP INC, 424B3, 2000-12-22 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 11
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
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)
Gregory K. Palm
James B. McHugh
The Goldman Sachs Group, Inc.
85 Broad Street
New York, New York 10004
Telephone: (212) 902-1000
--------------------
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
December 20, 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 schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
<PAGE> 2
-----------------------------
CUSIP NO. 38141G 10 4 13D
-----------------------------
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A.
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Persons(1) (a) [x]
As to a group consisting of persons other than Covered Persons (b) [x]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered
Shares(2)
(Applies to each person listed on Appendix A.)
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
(Applies to each person listed on Appendix A.)
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise
indicated on Appendix A.
--------------------------------------------------------------------------------
7. SOLE VOTING POWER (See Item 6)
NUMBER OF As to Covered Shares, 0
SHARES As to Uncovered Shares, as stated in Appendix A
BENEFICIALLY -----------------------------------------------------------
OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to each
REPORTING person listed on Appendix A.)
PERSON 274,852,710 Covered Shares held by Covered Persons
WITH 6,917 Uncovered Shares held by Covered Persons(3)
1,419,455 Other Uncovered Shares held by Covered
Persons(4)
10,987,710 shares held by KAA(5)
16,243,610 shares held by SBCM(5)
-----------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Covered Shares, less than 1%
As to Uncovered Shares, as stated in Appendix A
-----------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6):
As to Covered Shares, 0
As to Uncovered Shares, as stated in Appendix A
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
276,279,082(6)
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(Applies to each person listed on Appendix A.) [x](6)
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 57.1% (6)
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the
caption "Trusts"; PN as to persons listed in Appendix A under the caption
"Partnerships"; CO as to persons listed in Appendix A under the caption
"Corporations"; IN as to all other persons listed in Appendix A.
----------------------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 3.
(3) These are Uncovered Shares also described in Row 7 which each Covered Person
is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not
include the Uncovered Shares described in note 4. Each Covered Person
disclaims beneficial ownership of Uncovered Shares held by each other
Covered Person.
(4) These are Uncovered Shares held by 88 private charitable foundations
established by 88 Covered Persons each of whom is a co-trustee of one or
more of such private charitable foundations and may be deemed to
beneficially own such Uncovered Shares. Each other Covered Person may be
deemed to beneficially own such Uncovered Shares by application of Rule
13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such
Uncovered Shares, and each other Covered Person also disclaims beneficial
ownership of such Uncovered Shares.
2
<PAGE> 3
(5) For a definition of this term, please see Item 2. The Covered Persons may be
deemed to be members of a "group" with KAA and SBCM. Each Covered Person
disclaims beneficial ownership of shares of Common Stock held by KAA and
SBCM.
(6) Excludes 10,987,710 and 16,243,610 shares of Common Stock held by KAA and
SBCM, respectively, as to which each Covered Person disclaims beneficial
ownership.
3
<PAGE> 4
APPENDIX A
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 0 0 0 0
Daniel A. Abut Argentina 0 0 0 0
Paul M. Achleitner Austria 0 0 0 0
Alberto F. Ades Argentina 0 0 0 0
Gregory A. Agran 0 0 0 0
Raanan A. Agus 0 0 0 0
Jonathan R. Aisbitt UK 0 0 0 0
Anand Aithal UK 0 0 0 0
Elliot M. Alchek 0 0 0 0
Yusuf A. Aliredha Bahrain 0 0 0 0
Andrew M. Alper 0 0 0 0
Philippe J. Altuzarra France 0 0 0 0
Rebecca Amitai 0 0 0 0
Zarthustra Amrolia UK 0 0 0 0
John G. Andrews USA/UK 0 0 0 0
Francois Andriot France 0 0 0 0
Lay Pheng Ang Singapore 0 0 0 0
Michael Appleby 0 0 0 0
Kazutaka P. Arai North Korea/ 0 0 0 0
South Korea
John A. Ashdown UK 0 0 0 0
David M. Atkinson UK 0 0 0 0
Mitchel J. August 0 0 0 0
Armen A. Avanessians 0 0 0 0
Dean C. Backer 0 0 0 0
William A. Badia 0 0 0 0
Michiel J. Bakker The Netherlands 0 0 0 0
Stephen D. Balsamo 100 0 100 0
Mark E. Bamford 0 0 0 0
John S. Barakat 0 0 0 0
Adam P. Barrett UK 0 0 0 0
Christopher M. Barter 0 0 0 0
Barbara J. Basser-Bigio 0 0 0 0
Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0
David Baum 0 0 0 0
Patrick Y. Baune France 0 0 0 0
Robert A. Beckwitt 0 0 0 0
Frank A. Bednarz 0 0 0 0
Jonathan A. Beinner 0 0 0 0
Janet L. Bell 0 0 0 0
Ron E. Beller 0 0 0 0
Tarek M. Ben Halim Saudi Arabia 0 0 0 0
Kenneth Berents 0 0 0 0
Milton R. Berlinski The Netherlands 0 0 0 0
Andrew S. Berman 0 0 0 0
Frances R. Bermanzohn 0 0 0 0
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Anthony D. Bernbaum UK 0 0 0 0
Stuart N. Bernstein 0 0 0 0
Thomas P. Berquist 0 0 0 0
Robert A. Berry UK 0 0 0 0
John D. Bertuzzi 0 0 0 0
Elizabeth E. Beshel 0 0 0 0
Andrew M. Bevan UK 0 0 0 0
Jean-Luc Biamonti Monaco 0 0 0 0
James J. Birch UK 0 0 0 0
Lloyd C. Blankfein 0 0 0 0
Abraham Bleiberg Mexico 0 0 0 0
David W. Blood 0 0 0 0
Randall A. Blumenthal 0 0 0 0
David R. Boles 0 0 0 0
Antonio Borges Portugal 0 0 0 0
Alastair M. Borthwick UK 0 0 0 0
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
Patrick C. Boyle 0 0 0 0
Charles C. Bradford III 0 0 0 0
Benjamin S. Bram 0 0 0 0
Graham Branton UK 0 0 0 0
Thomas C. Brasco 0 0 0 0
Alan J. Brazil 0 0 0 0
Daniel G. Brennan 0 0 0 0
Peter L. Briger, Jr. 0 0 0 0
Craig W. Broderick 0 0 0 0
Richard J. Bronks UK 0 0 0 0
Peter M. Brooks 0 0 0 0
Edward A. Brout 0 0 0 0
Charles K. Brown UK 0 0 0 0
James K. Brown 0 0 0 0
Julian J. Brown UK 0 0 0 0
Melissa R. Brown 0 0 0 0
Peter D. Brundage 0 0 0 0
Sholom Bryski 0 0 0 0
John J. Bu 0 0 0 0
Lawrence R. Buchalter 0 0 0 0
Mark J. Buisseret UK 0 0 0 0
Steven M. Bunson 0 0 0 0
Timothy B. Bunting UK 0 0 0 0
Andrew J. Burke-Smith Canada 0 0 0 0
Calvert C. Burkhart 0 0 0 0
David D. Burrows 0 0 0 0
Michael S. Burton UK 0 0 0 0
George H. Butcher III 0 0 0 0
Mary D. Byron 0 0 0 0
Andrew Cader 0 0 0 0
Lawrence V. Calcano 0 0 0 0
Elizabeth V. Camp 0 0 0 0
John D. Campbell 0 0 0 0
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Laurie G. Campbell Canada 0 0 0 0
Richard M. Campbell-Breeden UK 0 0 0 0
Carmine C. Capossela 0 0 0 0
Mark M. Carhart 0 0 0 0
Mark J. Carlebach 0 0 0 0
Mariafrancesca Carli Italy 0 0 0 0
Anthony H. Carpet 0 0 0 0
Michael J. Carr 0 0 0 0
Christopher J. Carrera 0 0 0 0
Mark Carroll 0 0 0 0
Virginia E. Carter 0 0 0 0
Calvin R. Carver, Jr. 0 0 0 0
Mary Ann Casati 0 0 0 0
Chris Casciato 0 0 0 0
Mark A. Castellano 0 0 0 0
Douglas W. Caterfino 0 0 0 0
Michael J. Certo 0 0 0 0
Varkki P. Chacko USA/India 0 0 0 0
David K. Chang Taiwan 0 0 0 0
Thomas P. Chang 0 0 0 0
Amy L. Chasen 0 0 0 0
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
W. Reed Chisholm, II 0 0 0 0
Robert J. Christie 0 0 0 0
Todd J. Christie 0 0 0 0
Jane P. Chwick 0 0 0 0
Peter T. Cirenza 0 0 0 0
Geoffrey G. Clark Canada 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Maura J. Clark Canada 0 0 0 0
Catherine M. Claydon Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Michael D. Cochrane Canada 0 0 0 0
Abby Joseph Cohen 0 0 0 0
Lawrence A. Cohen 200 0 200 0
Lawrence H. Cohen 0 0 0 0
Marc I. Cohen 0 0 0 0
Gary D. Cohn 0 0 0 0
Christopher A. Cole 0 0 0 0
Timothy J. Cole 0 0 0 0
Robert G. Collins 0 0 0 0
Marcus R. Colwell 0 0 0 0
Peter H. Comisar 0 0 0 0
Laura C. Conigliaro 0 0 0 0
Liam Connell 0 0 0 0
Llewellyn C. Connolly 0 0 0 0
Thomas G. Connolly Ireland/USA 0 0 0 0
Frank T. Connor 0 0 0 0
Donna L. Conti 0 0 0 0
Karen R. Cook UK 0 0 0 0
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Edith W. Cooper 0 0 0 0
Philip A. Cooper 0 0 0 0
Carlos A. Cordeiro 0 0 0 0
Henry Cornell 0 0 0 0
E. Gerald Corrigan 0 0 0 0
Jon S. Corzine 0 0 0 0
Claudio Costamagna Italy 0 0 0 0
James A. Coufos 0 0 0 0
Frank L. Coulson, Jr. 0 0 0 0
Kenneth Courtis 0 0 0 0
Eric J. Coutts UK 0 0 0 0
Randolph L. Cowen 0 0 0 0
Meyrick Cox UK 0 0 0 0
Brahm S. Cramer Canada 0 0 0 0
Nicholas P. Crapp UK 0 0 0 0
Neil D. Crowder 0 0 0 0
Michael L. Crowl 0 0 0 0
Eduardo A. Cruz 0 0 0 0
John P. Curtin, Jr. 0 0 0 0
John W. Curtis 0 0 0 0
Michael D. Daffey Australia 0 0 0 0
Stephen C. Daffron 0 0 0 0
Paul B. Daitz 0 0 0 0
John S. Daly Ireland 0 0 0 0
Philip M. Darivoff 0 0 0 0
Matthew S. Darnall 0 0 0 0
Timothy D. Dattels Canada 0 0 0 0
Gavyn Davies UK 0 0 0 0
Michael H. Davis 0 0 0 0
Michael G. De Lathauwer Belgium 0 0 0 0
Jean A. De Pourtales France/UK 0 0 0 0
Luigi de Vecchi Italy 0 0 0 0
David A. Dechman 0 0 0 0
Mark Dehnert 0 0 0 0
Paul C. Deighton UK 0 0 0 0
James Del Favero Australia 0 0 0 0
Juan A. Del Rivero Spain 0 0 0 0
Robert V. Delaney, Jr. 0 0 0 0
Joseph Della Rosa 0 0 0 0
Emanuel Derman 0 0 0 0
Neil V. DeSena 0 0 0 0
Martin R. Devenish UK 0 0 0 0
Andrew C. Devenport UK 0 0 0 0
Stephen D. Dias UK 0 0 0 0
Armando A. Diaz 0 0 0 0
Alexander C. Dibelius Germany 0 0 0 0
Stephen J. DiLascio 0 0 0 0
James D. Dilworth 0 0 0 0
Paul M. DiNardo 0 0 0 0
Simon P. Dingemans UK 0 0 0 0
Joseph P. DiSabato 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Sandra D'Italia 0 0 0 0
Michele I. Docharty 0 0 0 0
Paula A. Dominick 0 0 0 0
Noel B. Donohoe Ireland 0 0 0 0
Suzanne O. Donohoe 0 0 0 0
James H. Donovan 0 0 0 0
Jana Hale Doty 0 0 0 0
Robert G. Doumar, Jr. 0 0 0 0
Thomas M. Dowling 0 0 0 0
John O. Downing 0 0 0 0
Gerard Dreyer 0 0 0 0
Michael B. Dubno 0 0 0 0
Connie K. Duckworth 0 0 0 0
William C. Dudley 0 0 0 0
Donald J. Duet 0 0 0 0
Brian J. Duffy 0 0 0 0
Brian Duggan 0 0 0 0
Matthieu B. Duncan 0 0 0 0
C. Steven Duncker 0 0 0 0
Karlo J. Duvnjak Canada 0 0 0 0
Jay S. Dweck 0 0 0 0
Michael L. Dweck 0 0 0 0
Gordon E. Dyal 0 0 0 0
Isabelle Ealet France 0 0 0 0
Glenn P. Earle UK 0 0 0 0
Seaborn S. Eastland 0 0 0 0
Paul S. Efron 0 0 0 0
Herbert E. Ehlers 0 0 0 0
Alexander S. Ehrlich 0 0 0 0
John E. Eisenberg 0 0 0 0
Gary L. Eisenreich 0 0 0 0
Edward K. Eisler Austria 0 0 0 0
Jason H. Ekaireb UK 0 0 0 0
Gregory H. Ekizian 0 0 0 0
Aubrey J. Ellis 0 0 0 0
Glenn D. Engel 0 0 0 0
Earl S. Enzer 0 0 0 0
Christopher H. Eoyang 0 0 0 0
Davide G. Erro Italy 0 0 0 0
Michael P. Esposito 0 0 0 0
George C. Estey Canada 0 0 0 0
Mark D. Ettenger 0 0 0 0
Bruce J. Evans 0 0 0 0
Ian J. Evans UK 0 0 0 0
J. Michael Evans Canada 0 0 0 0
W. Mark Evans Canada 0 0 0 0
Charles P. Eve UK 0 0 0 0
Brian F. Farr 0 0 0 0
Elizabeth C. Fascitelli 0 0 0 0
Jeffrey F. Fastov 0 0 0 0
Pieter Maarten Feenstra The Netherlands 0 0 0 0
</TABLE>
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Norman Feit 0 0 0 0
Steven M. Feldman 0 0 0 0
Laurie R. Ferber 0 0 0 0
John A. Ferro, Jr. 0 0 0 0
Robert P. Fisher, Jr. 0 0 0 0
Lawton W. Fitt 0 0 0 0
Stephen C. Fitzgerald Australia 0 0 0 0
Thomas M. Fitzgerald III 0 0 0 0
Daniel M. Fitzpatrick 0 0 0 0
James A. Fitzpatrick 0 0 0 0
David N. Fleischer 0 0 0 0
David B. Ford 0 0 0 0
Edward C. Forst 0 0 0 0
George B. Foussianes 0 0 0 0
Oliver L. Frankel 0 0 0 0
Randy W. Frankel 0 0 0 0
Matthew T. Fremont-Smith 0 0 0 0
Christopher G. French UK 0 0 0 0
Jacob Y. Friedman 0 0 0 0
Richard A. Friedman 0 0 0 0
Matthias K. Frisch Switzerland 0 0 0 0
Robert K. Frumkes 0 0 0 0
C. Douglas Fuge 0 0 0 0
Shirley Fung UK 0 0 0 0
Joseph D. Gatto 0 0 0 0
Emmanuel Gavaudan France 0 0 0 0
Nicholas J. Gaynor UK 0 0 0 0
Richard A. Genna 0 0 0 0
Eduardo B. Gentil 0 0 0 0
Peter C. Gerhard 0 0 0 0
Kenneth K. Gershenfeld 0 0 0 0
Rajiv A. Ghatalia India 0 0 0 0
Robert R. Gheewalla 0 0 0 0
Nomi P. Ghez Israel/USA 0 0 0 0
Scott A. Gieselman 0 0 0 0
Gary T. Giglio 0 0 0 0
H. John Gilbertson, Jr. 0 0 0 0
Nicholas G. Giordano 0 0 0 0
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Charles G. Goetz 0 0 0 0
Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7)
Jacob D. Goldfield 0 0 0 0
Gary F. Goldring 0 0 0 0
James S. Golob 0 0 0 0
Amy O. Goodfriend 0 0 0 0
Jay S. Goodgold 0 0 0 0
Andrew M. Gordon 0 0 0 0
</TABLE>
----------------------
(7) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Anthony J. Gordon 0 0 0 0
Roger H. Gordon 0 0 0 0
Robert D. Gottlieb 0 0 0 0
Gregory M. Gould 0 0 0 0
Frank J. Governali 0 0 0 0
Lorenzo Grabau Italy 0 0 0 0
Geoffrey T. Grant 0 0 0 0
William M. Grathwohl 0 0 0 0
Pedro Gonzalez Grau Spain 0 0 0 0
Thomas J. Gravina 200 0 200 0
Michael J. Graziano 0 0 0 0
Carmen A. Greco 0 0 0 0
David J. Greenwald 0 0 0 0
Louis S. Greig UK 0 0 0 0
William W. Gridley 0 0 0 0
Peter W. Grieve 0 0 0 0
Christopher Grigg UK 0 0 0 0
Edward Sebastian Grigg UK/France 0 0 0 0
Douglas C. Grip 0 0 0 0
Peter Gross 0 0 0 0
Eric P. Grubman 0 0 0 0
Celeste A. Guth 0 0 0 0
Edward S. Gutman 0 0 0 0
Joseph D. Gutman 0 0 0 0
Douglas A. Guzman Canada 0 0 0 0
Erol Hakanoglu Turkey 0 0 0 0
David R. Hansen Australia 0 0 0 0
Roger C. Harper 0 0 0 0
Charles T. Harris III 0 0 0 0
Robert S. Harrison 0 0 0 0
Shelley A. Hartman 0 0 0 0
Paul R. Harvey 0 0 0 0
Arthur J. Hass 0 0 0 0
Arne K. Hassel Sweden 0 0 0 0
Nobumichi Hattori Japan 0 0 0 0
Stephen J. Hay UK 0 0 0 0
Walter H. Haydock 0 0 0 0
Isabelle Hayen Belgium 0 0 0 0
Keith L. Hayes UK 0 0 0 0
Thomas J. Healey 0 0 0 0
John P. Heanue 0 0 0 0
Robert C. Heathcote UK 0 0 0 0
Sylvain M. Hefes France 0 0 0 0
Douglas C. Heidt 0 0 0 0
David B. Heller 0 0 0 0
Steven M. Heller 0 0 0 0
William L. Hemphill 0 0 0 0
David P. Hennessey 0 0 0 0
R. Douglas Henderson 0 0 0 0
David L. Henle 0 0 0 0
Mary C. Henry 0 0 0 0
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Peter C. Herbert 0 0 0 0
Raimund W. Herden Germany 0 0 0 0
Carl H. Hewitt 0 1000(8) 0 1000(8)
Bruce A. Heyman 0 0 0 0
Stephen Hickey 0 0 0 0
Robert E. Higgins 0 0 0 0
Joanne M. Hill 0 0 0 0
M. Roch Hillenbrand 0 0 0 0
Donald W. Himpele 0 0 0 0
Kenneth W. Hitchner 0 0 0 0
Maykin Ho 0 0 0 0
Timothy E. Hodgson Canada 0 0 0 0
Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0
Richard R. Hogan 0 0 0 0
Christopher G. Hogg New Zealand/USA 0 0 0 0
Daniel E. Holland III 0 0 0 0
Teresa E. Holliday 0 0 0 0
Peter Hollmann Germany 0 0 0 0
Philip Holzer Germany 0 0 0 0
Gregory T. Hoogkamp 0 0 0 0
Thomas J. Hopkins 0 0 0 0
Jay D. Horine 0 0 0 0
Robert D. Hormats 0 0 0 0
Robert G. Hottensen, Jr. 0 0 0 0
Michael R. Housden UK 0 0 0 0
Zu Liu Frederick Hu China 0 0 0 0
Paul J. Huchro 0 0 0 0
James A. Hudis 0 0 0 0
Terry P. Hughes Ireland 0 0 0 0
Bimaljit S. Hundal UK 0 0 0 0
Edith A. Hunt 0 0 0 0
Susan J. Hunt UK 0 0 0 0
Fern Hurst 0 0 0 0
Robert J. Hurst 0 0 0 0
Elizabeth A. Husted 0 0 0 0
Walter V. Hutcherson 0 0 0 0
John S. Iglehart 0 0 0 0
Toni Infante 0 0 0 0
Francis J. Ingrassia 0 0 0 0
Timothy J. Ingrassia 0 0 0 0
Margaret H. Isdale 0 0 0 0
Hideki Ishibashi Japan 0 0 0 0
Masahiro Iwano Japan 0 0 0 0
Raymond J. Iwanowski 0 0 0 0
Walter A. Jackson 0 0 0 0
William L. Jacob III 0 0 0 0
Ronald H. Jacobe, Jr. 0 0 0 0
Mark M. Jacobs 0 0 0 0
Richard I. Jaffee 0 0 0 0
</TABLE>
------------------
(8) Shared with family members.
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Reuben Jeffery III 0 0 0 0
Stefan J. Jentzsch Germany 0 0 0 0
Andrew R. Jessop UK 0 0 0 0
Dan H. Jester 0 0 0 0
Thomas Jevon 0 0 0 0
Daniel J. Jick 0 0 0 0
David M. Jimenez-Blanco Spain 0 0 0 0
Peter T. Johnston 0 0 0 0
Robert H. Jolliffe UK 0 0 0 0
Andrew J. Jonas 0 0 0 0
Robert C. Jones 0 0 0 0
Roy R. Joseph Guyana 0 0 0 0
Chansoo Joung 0 0 0 0
Marc H. Jourdren France 0 0 0 0
Andrew J. Kaiser 0 0 0 0
Fred J. Kambeitz 0 0 0 0
Ann F. Kaplan 21 0 21 0
Barry A. Kaplan 0 0 0 0
David A. Kaplan 0 0 0 0
Jason S. Kaplan 0 0 0 0
Robert S. Kaplan 0 0 0 0
Scott B. Kapnick 0 0 0 0
Atul Kapur India 0 0 0 0
Erland S. Karlsson Sweden 0 0 0 0
James M. Karp 0 0 0 0
Richard Katz 0 0 0 0
Robert J. Katz 0 0 0 0
Sofia Katzap 0 0 0 0
James C. Katzman 0 0 0 0
David K. Kaugher 0 0 0 0
Tetsuya Kawano Japan 0 0 0 0
R. Mark Keating 0 0 0 0
Peter R. Kellogg 0 0 0 0
John L. Kelly 0 0 0 0
Carsten Kengeter Germany 0 0 0 0
Kevin W. Kennedy 0 0 0 0
Gioia M. Kennett 0 0 0 0
William J. Kenney 0 0 0 0
Thomas J. Kenny 0 0 0 0
Lawrence S. Keusch 0 0 0 0
Rustom N. Khandalavala 0 0 0 0
Peter A. Kiernan U.K. 0 0 0 0
Peter D. Kiernan III 0 0 0 0
James T. Kiernan, Jr. 0 0 0 0
Sun Bae Kim Canada 0 0 0 0
Douglas W. Kimmelman 0 0 0 0
Colin E. King Canada 0 0 0 0
Robert C. King, Jr. 0 0 0 0
Adrian P. Kingshott UK 0 0 0 0
Timothy M. Kingston 0 0 0 0
Frank J. Kinney, III 0 0 0 0
</TABLE>
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Lincoln Kinnicutt 0 0 0 0
Shigeki Kiritani Japan 0 0 0 0
Ewan M. Kirk UK 0 0 0 0
Daniel H. Klebes II 0 0 0 0
Michael K. Klingher 0 0 0 0
Craig A. Kloner 0 0 0 0
Jonathan R. Knight UK 0 0 0 0
Bradford C. Koenig 0 0 0 0
Mark J. Kogan 0 0 0 0
Stanley Kogelman 0 0 0 0
John T. Koh Singapore 0 0 0 0
Jonathan L. Kolatch 0 0 0 0
Richard E. Kolman 0 0 0 0
Philip J. Kopp III 0 0 0 0
David J. Kostin 0 0 0 0
Koji Kotaka Japan 0 0 0 0
Peter S. Kraus 0 15(9) 0 15(9)
Mary Lyn Valkenburg Kurish 0 0 0 0
Lawrence Kutscher 0 0 0 0
Christoph M. Ladanyi Austria 0 0 0 0
Peggy A. Lamb 0 0 0 0
David G. Lambert 0 0 0 0
Thomas K. Lane 0 0 0 0
Bruce M. Larson 0 0 0 0
Thomas D. Lasersohn 0 0 0 0
Anthony D. Lauto 0 0 0 0
John J. Lauto 0 0 0 0
Matthew Lavicka 0 0 0 0
Peter T. Lawler 0 0 0 0
David N. Lawrence 0 0 0 0
Peter Layton 0 0 0 0
Susan R. Leadem 0 0 0 0
Andrew D. Learoyd UK 0 0 0 0
Chang-Ho J. Lee USA/South Korea 0 0 0 0
Donald C. Lee 0 0 0 0
Gregory D. Lee Australia 0 0 0 0
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Todd W. Leland 0 0 0 0
Paulo C. Leme 0 0 0 0
Remco O. Lenterman The Netherlands 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Johan H. Leven Sweden 0 0 0 0
Stephen M. Levick 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 0 0 0 0
Richard J. Levy UK 0 0 0 0
</TABLE>
------------------
(9) Shared with family members.
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Tobin V. Levy 0 0 0 0
P. Jeremy Lewis 0 0 0 0
Thomas B. Lewis, Jr. 0 0 0 0
Mark E. Leydecker 0 0 0 0
Matthew G. L'Heureux 0 0 0 0
George C. Liberopoulos Canada/USA 0 0 0 0
Gwen R. Libstag 0 0 0 0
Stephen C. Lichtenauer 0 0 0 0
Roger A. Liddell UK 0 0 0 0
Richard J. Lieb 0 0 0 0
Mitchell J. Lieberman 0 0 0 0
Richerd C. Lightburn 0 0 0 0
Susan S. Lin Hong Kong/USA 0 0 0 0
Syaru Shirley Lin 0 0 0 0
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Anthony W. Ling UK 0 0 0 0
Bonnie S. Litt 0 0 0 0
Robert Litterman 0 0 0 0
Robert H. Litzenberger 0 0 0 0
David McD. A. Livingstone Australia 0 0 0 0
Douglas F. Londal 0 0 0 0
Jacques M. Longerstaey USA/Belgium 0 0 0 0
Joseph Longo 0 0 0 0
Jonathan M. Lopatin 0 0 0 0
Francisco Lopez-Balboa 0 0 0 0
Victor M. Lopez-Balboa 0 0 0 0
Antigone Loudiadis UK 0 0 0 0
Robert W. Luckow 0 0 0 0
C. Richard Lucy 0 0 0 0
Michael C. Luethke 0 0 0 0
Kevin L. Lundeen 0 0 0 0
Michael R. Lynch 0 0 0 0
Peter B. MacDonald UK 0 0 0 0
Mark G. Machin UK 0 0 0 0
Shogo Maeda Japan 0 0 0 0
John A. Mahoney 0 0 0 0
Sean O. Mahoney 0 0 0 0
Russell E. Makowsky 0 0 0 0
Peter G. C. Mallinson UK 0 0 0 0
John V. Mallory 0 0 0 0
Kathleen M. Maloney 0 0 0 0
Charles G. R. Manby UK 0 0 0 0
Robert S. Mancini 0 0 0 0
Barry A. Mannis 0 0 0 0
Arthur S. Margulis, Jr. 0 0 0 0
Carmen Marino 0 0 0 0
Jorge O. Mariscal Mexico 0 0 0 0
Richard J. Markowitz 0 0 0 0
Ronald G. Marks 0 0 0 0
Robert J. Markwick UK 0 0 0 0
</TABLE>
14
<PAGE> 15
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Nicolas I. Marovich 0 0 0 0
Eff W. Martin 0 0 0 0
Jacques Martin Canada 0 0 0 0
John J. Masterson 0 0 0 0
David J. Mastrocola 0 0 0 0
Blake W. Mather 0 0 0 0
Kathy M. Matsui 0 0 0 0
Tadanori Matsumura Japan 0 0 0 0
Karen A. Matte 0 0 0 0
Heinz Thomas Mayer Germany 0 0 0 0
Thomas J. McAdam 2 0 2 0
Richard F. McArdle 0 0 0 0
John J. McCabe 0 0 0 0
Theresa E. McCabe 0 0 0 0
Joseph M. McConnell 0 0 0 0
Lynn M. McCormick 0 0 0 0
Mark E. McGoldrick 0 0 0 0
Joseph P. McGrath, Jr. 0 0 0 0
Stephen J. McGuinness 0 0 0 0
Tracy K. McHale Stuart 0 0 0 0
John C. McIntire 0 0 0 0
John W. McMahon 0 0 0 0
Geraldine F. McManus 0 0 0 0
James A. McNamara 0 0 0 0
Richard P. McNeil Jamaica 0 0 0 0
Audrey A. McNiff 0 0 0 0
Anne Welsh McNulty 0 0 0 0
John P. McNulty 0 0 0 0
Robert A. McTamaney 0 0 0 0
E. Scott Mead 0 0 0 0
Sharon I. Meers 0 0 0 0
David M. Meerschwam The Netherlands 0 0 0 0
Sanjeev K. Mehra India 0 0 0 0
Christian A. Meissner Austria 0 0 0 0
Michael C. Melignano 0 0 0 0
Michael A. Mendelson 0 0 0 0
Roberto Mendoza 0 0 0 0
Amos Meron USA/Israel 0 0 0 0
T. Willem Mesdag 0 0 0 0
Andrew L. Metcalfe UK 0 0 0 0
Michael R. Miele 0 0 0 0
Lowell J. Millar 0 0 0 0
Gunnar T. Miller 0 0 0 0
Kenneth A. Miller 0 0 0 0
Therese L. Miller 0 0 0 0
James E. Milligan 0 0 0 0
Eric M. Mindich 0 0 0 0
Peter A. Mindnich 0 0 0 0
John J. Minio 0 0 0 0
Luciana D. Miranda Brazil 0 0 0 0
Edward S. Misrahi Italy 0 0 0 0
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Steven T. Mnuchin 0 0 0 0
Kurt C. Mobley 0 0 0 0
Masanori Mochida Japan 0 0 0 0
Douglas D. Moffitt 0 0 0 0
Karsten N. Moller Denmark 0 0 0 0
Thomas K. Montag 0 0 0 0
William C. Montgomery 0 0 0 0
Wayne L. Moore 0 0 0 0
Yukihiro Moroe Japan 0 0 0 0
R. Scott Morris 0 0 0 0
Robert B. Morris III 0 0 0 0
Jennifer Moses 0 0 0 0
Jeffrey M. Moslow 0 0 0 0
Sharmin Mossavar-Rahmani UK 0 0 0 0
Gregory T. Mount 0 0 0 0
Ian Mukherjee UK 0 0 0 0
Edward A. Mule 0 0 0 0
Timothy R. Mullen 0 0 0 0
Eric D. Mullins 0 0 0 0
Donald J. Mulvihill 0 0 0 0
Patrick E. Mulvihill Ireland 0 0 0 0
Richard A. Murley UK 0 0 0 0
Patrick E. Murphy 0 0 0 0
Philip D. Murphy 43 0 43 0
Raymond T. Murphy 0 0 0 0
Thomas S. Murphy, Jr. 0 0 0 0
Gaetano J. Muzio 0 0 0 0
Michiya Nagai Japan 0 0 0 0
Gabrielle U. Napolitano 0 0 0 0
Avi M. Nash 0 0 0 0
Trevor P. Nash UK 0 0 0 0
Kevin D. Naughton 235 0 235 0
Warwick M. Negus Australia 0 0 0 0
Daniel M. Neidich 22 0 22 0
Kipp M. Nelson 0 0 0 0
Leslie S. Nelson 0 0 0 0
Robin Neustein 0 0 0 0
Geoffrey W. Nicholson UK 0 0 0 0
Duncan L. Niederauer 0 0 0 0
Theodore E. Niedermayer USA/France 0 0 0 0
Susan M. Noble UK 0 0 0 0
Markus J. Noe-Nordberg Austria 0 0 0 0
Suok J. Noh 0 0 0 0
Suzanne M. Nora Johnson 0 0 0 0
Christopher K. Norton 0 0 0 0
Michael E. Novogratz 0 0 0 0
Jay S. Nydick 0 0 0 0
Katherine K. Oakley 0 0 0 0
Alok Oberoi India 0 0 0 0
Fergal J. O'Driscoll Ireland 0 0 0 0
David Ogens 0 0 0 0
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Jinsuk T. Oh South Korea 0 0 0 0
L. Peter O'Hagan Canada 0 0 0 0
John C. O'Hara 0 0 0 0
Terence J. O'Neill UK 0 0 0 0
Timothy J. O'Neill 0 0 0 0
Richard T. Ong Malaysia 0 0 0 0
Ronald M. Ongaro 0 0 0 0
Taneki Ono Japan 0 0 0 0
Donald C. Opatrny, Jr. 0 0 0 0
Daniel P. Opperman 0 0 0 0
Daniel B. O'Rourke 0 0 0 0
Calum M. Osborne UK 0 0 0 0
Robert J. O'Shea 0 0 0 0
Joel D. Ospa 0 0 0 0
Greg M. Ostroff 0 0 0 0
Nigel M. O'Sullivan UK 0 0 0 0
Terence M. O'Toole 0 0 0 0
Brett R. Overacker 0 0 0 0
Robert J. Pace 0 0 0 0
Robert N. Packer 0 0 0 0
Gregory K. Palm 0 0 0 0
Bryant F. Pantano 0 0 0 0
James R. Paradise UK 0 0 0 0
Mukesh K. Parekh 0 0 0 0
Geoffrey M. Parker 0 0 0 0
Michael L. Pasternak UK 0 0 0 0
Ketan J. Patel UK 0 0 0 0
Melissa B. Patrusky 0 0 0 0
Henry M. Paulson, Jr. 0 0 0 0
Arthur J. Peponis 0 0 0 0
David E. Perlin 0 0 0 0
Antoinette Peskoff 0 0 0 0
William G. Peskoff 0 0 0 0
David B. Philip 0 0 0 0
Paul A. Phillips 0 0 0 0
Alberto M. Piedra, Jr. 0 0 0 0
Stephen R. Pierce 0 0 0 0
Philip J. Pifer 0 0 0 0
Scott M. Pinkus 0 0 0 0
Michel G. Plantevin France 0 0 0 0
Timothy C. Plaut Germany 0 0 0 0
Andrea Ponti Italy/USA 0 0 0 0
Ellen R. Porges 0 0 0 0
Wiet H. M. Pot The Netherlands 0 0 0 0
Michael J. Poulter UK 0 0 0 0
John J. Powers 0 0 0 0
Richard H. Powers 0 0 0 0
Roderic L. Prat Canada 0 0 0 0
Michael A. Price 0 0 0 0
Scott Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
</TABLE>
17
<PAGE> 18
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Goran V. Puljic 0 0 0 0
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
B. Andrew Rabin 0 0 0 0
John J. Rafter Ireland 0 0 0 0
Jonathan Raleigh 0 0 0 0
Dioscoro-Roy I. Ramos Phillippines 0 0 0 0
Gregory G. Randolph 0 0 0 0
Charlotte P. Ransom UK 0 0 0 0
Michael G. Rantz 0 0 0 0
Philip A. Raper UK 0 0 0 0
Joseph Ravitch 0 0 0 0
Girish V. Reddy 0 0 0 0
Arthur J. Reimers III 0 0 0 0
Anthony John Reizenstein UK 0 0 0 0
Peter Richards UK 0 0 0 0
Michael J. Richman 0 0 0 0
Andrew J. Rickards UK 0 0 0 0
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John S. Rizner 0 0 0 0
Paul M. Roberts UK 0 0 0 0
Simon M. Robertson UK 0 0 0 0
James H. Rogan 0 0 0 0
J. David Rogers 0 0 0 0
John F. W. Rogers 0 0 0 0
Emmanuel Roman France 0 0 0 0
Eileen P. Rominger 0 0 0 0
Pamela P. Root 0 0 0 0
Ralph F. Rosenberg 0 0 0 0
Jacob D. Rosengarten 0 0 0 0
Richard J. Rosenstein 0 0 0 0
Ivan Ross 0 0 0 0
Stuart M. Rothenberg 0 0 0 0
Michael S. Rotter 0 0 0 0
Stuart R. Rubenstein 0 0 0 0
Michael S. Rubinoff 0 0 0 0
Ernest H. Ruehl, Jr. 0 0 0 0
Paul M. Russo 0 0 0 0
John P. Rustum Ireland/USA 0 0 0 0
Richard M. Ruzika 0 0 0 0
Jeri Lynn Ryan 0 0 0 0
John C. Ryan 0 0 0 0
Michael D. Ryan 0 0 0 0
Katsunori Sago Japan 0 0 0 0
Pablo J. Salame Ecuador 0 0 0 0
Richard C. Salvadore 0 0 0 0
J. Michael Sanders 0 0 0 0
Allen Sangines-Krause Mexico 204 0 204 0
Richard A. Sapp 0 0 0 0
</TABLE>
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Neil I. Sarnak 0 0 0 0
Joseph Sassoon Israel 0 0 0 0
Atsuko Sato Japan 0 0 0 0
Masanori Sato Japan 0 0 0 0
Tsutomu Sato Japan 240 0 240 0
Muneer A. Satter 0 0 0 0
Marc P. Savini 0 0 0 0
Jonathan S. Savitz 0 0 0 0
Peter Savitz 0 0 0 0
Robert Schaefer 0 0 0 0
Paul S. Schapira Italy 0 0 0 0
P. Sheridan Schechner 1,000 0 1,000 0
Gary B. Schermerhorn 0 0 0 0
Mitchell I. Scherzer Canada 0 0 0 0
Peter Schiefer Germany 0 0 0 0
Howard B. Schiller 0 0 0 0
Erich P. Schlaikjer 0 0 0 0
Norman R. Schlanger 0 0 0 0
Jeffrey W. Schroeder 0 0 0 0
Antoine Schwartz France 0 0 0 0
Eric S. Schwartz 0 0 0 0
Harvey M. Schwartz 0 0 0 0
Mark Schwartz 0 0 0 0
Thomas M. Schwartz 0 0 0 0
Patrick P. Scire 0 0 0 0
Steven M. Scopellite 0 0 0 0
David J. Scudellari 0 0 0 0
Charles B. Seelig, Jr. 0 0 0 0
Karen D. Seitz 0 0 0 0
Randolph Sesson, Jr. 0 0 0 0
Steven M. Shafran 0 0 0 0
Lisa M. Shalett 0 0 0 0
Ramakrishna Shanker India/USA 0 0 0 0
Richard S. Sharp UK 0 0 0 0
John P. Shaughnessy 0 0 0 0
Mary Beth Shea 0 0 0 0
Robert J. Shea, Jr. 0 0 0 0
David G. Shell 0 0 0 0
James M. Sheridan 0 0 0 0
Richard G. Sherlund 0 0 0 0
Michael S. Sherwood UK 0 0 0 0
Evan W. Siddall Canada/UK 0 0 0 0
Michael H. Siegel 0 0 0 0
Ralph J. Silva 0 0 0 0
Harvey Silverman 0 0 0 0
Howard A. Silverstein 0 0 0 0
Richard P. Simon 0 0 0 0
Victor R. Simone, Jr. 0 0 0 0
David T. Simons 0 0 0 0
Christine A. Simpson 0 0 0 0
Dinakar Singh 0 0 0 0
</TABLE>
19
<PAGE> 20
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Ravi M. Singh 0 0 0 0
Ravi Sinha India/USA 0 0 0 0
Allen W. Sinsheimer 0 0 0 0
Edward M. Siskind 0 0 0 0
Christian J. Siva-Jothy UK 0 0 0 0
Mark F. Slaughter 0 0 0 0
Linda J. Slotnick 0 0 0 0
Cody J Smith 0 0 0 0
Derek S. Smith 0 0 0 0
Michael M. Smith 0 0 0 0
Sarah E. Smith UK 0 0 0 0
Trevor A. Smith UK 0 0 0 0
Randolph C. Snook 0 0 0 0
Jonathan S. Sobel 0 0 0 0
David M. Solomon 0 0 0 0
Judah C. Sommer 0 0 0 0
Theodore T. Sotir 0 0 0 0
Sergio E. Sotolongo 0 0 0 0
Vickrie C. South 0 0 0 0
Daniel L. Sparks 0 0 0 0
Marc A. Spilker 0 0 0 0
Daniel W. Stanton 0 0 0 0
Steven R. Starker 0 0 0 0
Esta E. Stecher 0 0 0 0
Cathrine S. Steck 0 0 0 0
Fredric E. Steck 0 0 0 0
Robert K. Steel 0 0 0 0
Stuart L. Sternberg 0 0 0 0
Joseph P. Stevens 0 0 0 0
Raymond S. Stolz 0 0 0 0
Steven H. Strongin 0 0 0 0
Timothy T. Storey Canada 0 0 0 0
Andrew J. Stuart Australia 0 0 0 0
Todd A. Stuart 0 0 0 0
Nobumichi Sugiyama Japan 0 0 0 0
Patrick Sullivan 0 0 0 0
Johannes R. Sulzberger Austria 0 0 0 0
Hsueh J. Sung Taiwan 0 0 0 0
George M. Suspanic Spain 0 0 0 0
Richard J. Sussman 0 0 0 0
Peter D. Sutherland S.C. Ireland 0 0 0 0
Watanan Suthiwartnarueput Thailand 0 0 0 0
Gary J. Sveva 0 0 0 0
Eric S. Swanson 0 0 0 0
Andrew M. Swinburne UK 0 0 0 0
Gene T. Sykes 0 0 0 0
Shahriar Tadjbakhsh 0 0 0 0
Ronald K. Tanemura UK/USA 0 0 0 0
Caroline H. Taylor UK 0 0 0 0
John H. Taylor 0 0 0 0
Robert E. Taylor 0 0 0 0
Greg W. Tebbe 0 0 0 0
</TABLE>
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
David H. Tenney 0 0 0 0
Kiyotaka Teranishi Japan 0 0 0 0
Mark R. Tercek 0 0 0 0
Donald F. Textor 0 0 0 0
John A. Thain 0 0 0 0
Alfred Thomas 0 0 0 0
Darren S. Thompson 0 0 0 0
John L. Thornton 0 0 0 0
Timothy J. Throsby Australia 0 0 0 0
Rory T. Tobin Ireland 0 0 0 0
Daisuke Toki Japan 0 0 0 0
Gary S. Tolchin 0 0 0 0
Peter K. Tomozawa 0 0 0 0
Massimo Tononi Italy 0 0 0 0
Brian J. Toolan 0 0 0 0
John R. Tormondsen 0 0 0 0
Leslie C. Tortora 0 0 0 0
John L. Townsend III 0 0 0 0
Mark J. Tracey UK 0 0 0 0
Lawrence F. Trainor 0 0 0 0
Stephen S. Trevor 0 0 0 0
Byron D. Trott 0 0 0 0
Michael A. Troy 0 0 0 0
Daniel Truell UK 0 0 0 0
Donald J. Truesdale 0 0 0 0
Robert B. Tudor III 0 0 0 0
Thomas E. Tuft 0 0 0 0
John Tumilty UK 0 0 0 0
Barry S. Turkanis 0 0 0 0
Malcolm B. Turnbull Australia 554 0 554 0
Christopher H. Turner 0 0 0 0
Gareth N. Turner Canada 0 0 0 0
Thomas B. Tyree, Jr. 0 0 0 0
Harkanwar Uberoi India 0 0 0 0
Eiji Ueda Japan 0 0 0 0
Kaysie P. Uniacke 0 0 0 0
John E. Urban 0 0 0 0
Lucas van Praag UK 0 0 0 0
Hugo H. Van Vredenburch The Netherlands 0 0 0 0
Frederick G. Van Zijl 0 0 0 0
Lee G. Vance 0 0 0 0
Ashok Varadhan 0 0 0 0
Corrado P. Varoli Canada 0 0 0 0
George F. Varsam 0 0 0 0
John J. Vaske 0 0 0 0
David A. Viniar 0 0 0 0
Barry S. Volpert 0 0 0 0
Casper W. Von Koskull Finland 0 0 0 0
Robert T. Wagner 0 0 0 0
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
</TABLE>
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Berent A. Wallendahl Norway 0 0 0 0
David R. Walton UK 0 0 0 0
Hsueh-Ming Wang 0 0 0 0
Patrick J. Ward 0 0 0 0
Haruko Watanuki Japan 0 0 0 0
Jerry T. Wattenberg 0 0 0 0
Edward F. Watts, Jr. 0 190(10) 0 190(10)
David M. Weil 0 0 0 0
Frank Weinberg III 0 0 0 0
John S. Weinberg 0 0 0 0
Peter A. Weinberg 0 0 0 0
Helge Weiner-Trapness Sweden 0 0 0 0
Gregg S. Weinstein 0 0 0 0
Scott R. Weinstein 0 0 0 0
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 0 0 0 0
Martin M. Werner Mexico 0 0 0 0
Lance N. West 0 0 0 0
Matthew Westerman UK 0 0 0 0
Peter Wheeler UK 0 0 0 0
Barbara A. White 0 0 0 0
A. Carver Wickman 0 0 0 0
C. Howard Wietschner 0 0 0 0
Susan A. Willetts 0 0 0 0
Anthony G. Williams UK 0 0 0 0
Christopher G. Williams UK 0 0 0 0
Gary W. Williams 0 0 0 0
Thomas F. Williams 0 0 0 0
Todd A. Williams 0 0 0 0
John S. Willian 0 0 0 0
Kenneth W. Willman 0 0 0 0
Keith R. Wills UK 0 0 0 0
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New Zealand 0 0 0 0
Kendrick R. Wilson III 0 0 0 0
Kurt D. Winkelmann 0 0 0 0
Jon Winkelried 0 0 0 0
Steven J. Wisch 0 0 0 0
Michael S. Wishart 0 0 0 0
Richard E. Witten 0 0 0 0
William H. Wolf, Jr. 0 0 0 0
Melinda B. Wolfe 0 0 0 0
Tracy R. Wolstencroft 0 0 0 0
Zi Wang Xu Canada/China 0 0 0 0
(PRC)
Richard A. Yacenda 0 0 0 0
Tetsufumi Yamakawa Japan 0 0 0 0
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
</TABLE>
-------------------
(10) Shared with family members.
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 7 ITEM 8 ITEM 9 ITEM 10
ITEM 6 SOLE SHARED SOLE SHARED
CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE
(UNITED STATES POWER OF POWER OF POWER OF POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ---------------- --------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Xiang-Dong Yang China (PRC) 0 0 0 0
Danny O. Yee 0 0 0 0
Jaime E. Yordan 0 0 0 0
W. Thomas York, Jr. 0 0 0 0
Wassim G. Younan Lebanon 0 0 0 0
Paul M. Young 0 0 0 0
Richard M. Young 0 0 0 0
Bryant M. Yunker, Jr. 0 0 0 0
Jeffrey J. Zajkowski 0 0 0 0
Michael J. Zamkow 0 20(11) 0 20(11)
Paolo Zannoni Italy 0 0 0 0
Yoel Zaoui France 0 0 0 0
Gregory Zenna 0 0 0 0
Gregory H. Zehner 0 0 0 0
Jide J. Zeitlin 0 0 0 0
Alphonse Zenna 0 0 0 0
Joan H. Zief 0 0 0 0
Joseph R. Zimmel 0 0 0 0
James P. Ziperski 0 0 0 0
Barry L. Zubrow 0 0 0 0
Mark A. Zurack 0 0 0 0
Shares held by 88 private N/A 0 1,419,455 0 1,419,455
charitable foundations established
by 88 Covered Persons each of
whom is a co-trustee of one or
more of such private charitable
foundations(12)
</TABLE>
----------------------
(11) Shared with family members.
(12) Each Covered Person disclaims beneficial ownership of all such shares
of Common Stock.
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
TRUSTS
120 Broadway Partners New Jersey 0 0 0 0
2000 Carlos A. Cordeiro Grantor
Retained Annuity Trust 0 0 0 0
2000 Danny O. Yee Grantor Retained
Annuity Trust 0 0 0 0
2000 Douglas W. Kimmelman Grantor
Retained Annuity Trust 0 0 0 0
2000 Girish V. Reddy Grantor Retained
Annuity Trust 0 0 0 0
2000 James M. Sheridan Grantor
Retained Annuity Trust 0 0 0 0
2000 John A. Thain Grantor Retained
Annuity Trust 0 0 0 0
2000 Kipp M. Nelson Grantor Retained
Annuity Trust 0 0 0 0
2000 Mary Ann Casati Grantor Retained
Annuity Trust 0 0 0 0
2000 Michael E. Novogratz Grantor
Retained Annuity Trust 0 0 0 0
2000 Scott S. Prince Grantor Retained
Annuity Trust 0 0 0 0
The Abby Joseph Cohen 2000 Annuity
Trust I 0 0 0 0
The Abby Joseph Cohen 2000 Family
Trust 0 0 0 0
A.C. Trust 0 0 0 0
The Adina R. Lopatin 2000 Trust 0 0 0 0
The Alexander H. Witten 2000 Trust 0 0 0 0
The Alexander I. Berlinski 2000 Trust 0 0 0 0
The Alexander Litzenberger 2000
Grantor Retained Annuity Trust 0 0 0 0
The Alexander Litzenberger Remainder
Trust 0 0 0 0
The Alexandra D. Steel 2000 Trust 0 0 0 0
The Alexis Blood 2000 Trust 0 0 0 0
The Alyssa Blood 2000 Trust 0 0 0 0
The Amanda Liann Mead 2000 Trust 0 0 0 0
Anahue Trust Jersey 0 0 0 0
Andrew L. Fippinger-Millennium Trust 0 0 0 0
The Andrew M Alper 2000
Annuity Trust I 0 0 0 0
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Andrew M. Gordon 2000 Family Trust 0 0 0 0
Ann F. Kaplan Two Year Trust Dated
June 2000 0 0 0 0
The Anne R. Witten 2000 Trust 0 0 0 0
The Anne Sullivan Wellde 2000 Trust 0 0 0 0
The Anthony D. Lauto 2000 Annuity
Trust I 0 0 0 0
The Anthony D. Lauto 2000 Family Trust 0 0 0 0
The Arthur J. Reimers, III Defective
Trust 2000 Connecticut 0 0 0 0
Arthur J. Reimers, III Grantor
Retained Annuity Trust 2000 Connecticut 0 0 0 0
The Avi M. Nash 2000 Annuity Trust I 0 0 0 0
The Avi M. Nash 2000 Family Trust 0 0 0 0
The Bari Marissa Schwartz 2000 Trust 0 0 0 0
Barry A. Kaplan 2000 Family Trust 0 0 0 0
Barry A. Kaplan 2000 GRAT 0 0 0 0
The Barry L. Zubrow 2000 Annuity
Trust I 0 0 0 0
The Barry L. Zubrow 2000 Family Trust 0 0 0 0
The Benjamin H. Sherlund 2000 Trust 0 0 0 0
The Benjamin Kraus 2000 Trust 0 0 0 0
The Bradley Abelow Family 2000 Trust 0 0 0 0
The Caceres Novogratz Family Trust 0 0 0 0
The Carlos A. Cordeiro Trust 0 0 0 0
The Charlotte Steel 2000 Trust 0 0 0 0
The Charlotte Textor 2000 Trust 0 0 0 0
The Christopher A. Cole 2000 Annuity
Trust I 0 0 0 0
The Christopher A. Cole 2000 Family
Trust 0 0 0 0
The Christopher K. Norton 2000 Family
Trust 0 0 0 0
The Christopher Palmisano 2000
Grantor Retained Annuity Trust 0 0 0 0
The Christopher Palmisano Remainder
Trust 0 0 0 0
The Christopher Ryan Tortora 2000
Trust 0 0 0 0
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Cody J Smith 2000 Annuity Trust I 0 0 0 0
The Cody J Smith 2000 Family Trust 0 0 0 0
The Connie K. Duckworth 2000 Annuity
Trust I 0 0 0 0
The Connie K. Duckworth 2000 Family
Trust 0 0 0 0
The Constance A. Haydock 2000 Trust 0 0 0 0
The Daniel Alexander Schwartz 2000
Trust 0 0 0 0
The Daniel M. Neidich 2000 Annuity
Trust I 0 0 0 0
The Daniel W. Stanton 2000 Annuity
Trust I 0 0 0 0
The Daniel W. Stanton, II 2000 Trust 0 0 0 0
The Danny O. Yee Trust 0 0 0 0
The David B. Ford 2000 Annuity Trust
DTD as of 6/16/2000 Pennsylvania 0 0 0 0
The David B. Heller 2000 Annuity
Trust I 0 0 0 0
The David B. Heller 2000 Family Trust 0 0 0 0
The David G. Lambert 2000 Annuity
Trust I 0 0 0 0
The David G. Lambert 2000 Family Trust 0 0 0 0
The David L. Henle 2000
Annuity Trust I 0 0 0 0
The David L. Henle 2000 Family Trust 0 0 0 0
The David M. Baum Family 2000 Trust New Jersey 0 0 0 0
The David Viniar 2000 Annuity Trust I 0 0 0 0
The David W. Blood 2000
Annuity Trust I 0 0 0 0
The Donald F. Textor 2000 Annuity
Trust I 0 0 0 0
The Douglas W. Kimmelman Trust 0 0 0 0
The Eaddy Adele Kiernan 2000 Trust 0 0 0 0
The Edward C. Forst 2000 Annuity
Trust I 0 0 0 0
The Edward C. Forst 2000 Family Trust 0 0 0 0
The Edward Scott Mead 2000 Annuity
Trust I 0 0 0 0
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
Eff Warren Martin 2000 Childrens Trust California 0 0 0 0
Eff Warren Martin 2000 Grantor
Retained Annuity Trust California 0 0 0 0
The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0
The Elizabeth H. Coulson 2000 Trust 0 0 0 0
The Elizabeth L. Heller 2000 Trust 0 0 0 0
The Elizabeth Lin Mead 2000 Trust 0 0 0 0
The Elizabeth M. Stanton 2000 Trust 0 0 0 0
The Elizabeth Steel 2000 Trust 0 0 0 0
The Ellie Dorit Neustein 2000 Trust 0 0 0 0
The Emily Austen Katz 2000 Trust 0 0 0 0
The Emily Stecher 2000 Trust 0 0 0 0
The Emma M.L. Mead 2000 Trust 0 0 0 0
The Eric Fithian 2000 Trust 0 0 0 0
The Erin Marie Tormondsen 2000 Trust 0 0 0 0
The Esta Eiger Stecher 2000 Annuity
Trust I 0 0 0 0
The Francis J. Ingrassia 2000 Annuity
Trust I 0 0 0 0
The Francis J. Ingrassia 2000 Family
Trust 0 0 0 0
The Frank L. Coulson III 2000 Trust 0 0 0 0
The Fredric E. Steck 2000 Annuity
Trust I 0 0 0 0
The Fredric E. Steck 2000 Family Trust 0 0 0 0
Gary D. Cohn 2000 Family Trust 0 0 0 0
Gary D. Cohn 2000 GRAT 0 0 0 0
The Geoffrey T. Grant 2000 Family
Trust 0 0 0 0
The George H. Walker 2000 Annuity
Trust I 0 0 0 0
The George H. Walker 2000 Family Trust 0 0 0 0
The George W. Wellde, Jr. 2000
Annuity Trust I 0 0 0 0
The George William Wellde, III 2000
Trust 0 0 0 0
Ghez 2000 GRAT 0 0 0 0
Ghez 2000 Non-GST-Exempt Trust 0 0 0 0
The Girish V. Reddy Trust 0 0 0 0
</TABLE>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Goldenberg 2000 Annuity Trust I 0 0 0 0
The Goldenberg 2000 Family Trust 0 0 0 0
The Greg M. Ostroff 2000 Annuity
Trust I 0 0 0 0
The Greg M. Ostroff 2000 Family Trust 0 0 0 0
The Gregory H. Zehner 2000 Annuity
Trust I 0 0 0 0
The Gregory H. Zehner 2000 Family
Trust 0 0 0 0
The Gregory K. Palm 2000 Annuity
Trust I 0 0 0 0
The Gregory K. Palm 2000 Family Trust 0 0 0 0
The Guapulo Trust Jersey 0 0 0 0
The Howard A. Silverstein 2000
Annuity Trust I 0 0 0 0
The Howard A. Silverstein 2000 Family
Trust 0 0 0 0
The Howard B. Schiller 2000 Annuity
Trust I 0 0 0 0
The Isabelle M.L. Mead 2000 Trust 0 0 0 0
The J. David Rogers 2000 Annuity
Trust I 0 0 0 0
The James Alexander Mead 2000 Trust 0 0 0 0
The James M. Sheridan Trust 0 0 0 0
The James Nicholas Katz 2000 Trust 0 0 0 0
James P. Riley, Jr. 2000 Family Trust 0 0 0 0
James P. Riley, Jr. 2000 GRAT 0 0 0 0
The Jason Kraus 2000 Trust 0 0 0 0
The Jason William Tortora 2000 Trust 0 0 0 0
The Jeffrey D. Witten 2000 Trust 0 0 0 0
The Jennifer Lauren Alper 2000 Trust 0 0 0 0
JG 2000 Trust 0 0 0 0
JG 2000 Trust (continuing trust) 0 0 0 0
The John A. Thain Trust 0 0 0 0
The John J. Powers 2000 Family Trust 0 0 0 0
The John L. Townsend, III 2000
Annuity Trust I 0 0 0 0
The John O. Downing 2000 Annuity
Trust I 0 0 0 0
The John O. Downing 2000 Family Trust 0 0 0 0
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The John P. Curtin, Jr. 2000 Annuity
Trust I 0 0 0 0
The John P. Curtin, Jr. 2000 Family
Trust 0 0 0 0
The John R. Tormondsen 2000 Annuity
Trust I 0 0 0 0
The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0
The John S. Weinberg 2000 Annuity
Trust I 0 0 0 0
The John S. Weinberg 2000 Family Trust 0 0 0 0
The Jonathan G. Neidich 2000 Trust 0 0 0 0
The Jonathan M. Lopatin 2000 Annuity
Trust I 0 0 0 0
The Jordan Viniar 2000 Trust 0 0 0 0
The Joseph Della Rosa 2000 Annuity
Trust I 0 0 0 0
The Joseph Della Rosa 2000 Family
Trust 0 0 0 0
The Joseph H. Gleberman 2000 Annuity
Trust I 0 0 0 0
The Joseph H. Gleberman 2000 Family
Trust 0 0 0 0
The Karen Barlow Corrigan 2000 Trust 0 0 0 0
The Karen Rebecca Alper 2000 Trust 0 0 0 0
The Karsten Moller & Barbara
Kahn-Moller Trust Jersey 0 0 0 0
The Katherine A.M. Stanton 2000 Trust 0 0 0 0
The Katheryn C. Coulson 2000 Trust 0 0 0 0
The Kathryn Margaret Wellde 2000 Trust 0 0 0 0
The Kelsey Fithian 2000 Trust 0 0 0 0
The Kenneth Litzenberger 2000 Grantor
Retained Annuity Trust 0 0 0 0
The Kenneth Litzenberger Remainder
Trust 0 0 0 0
The Kevin W. Kennedy 2000 Annuity
Trust I 0 0 0 0
The Kevin W. Kennedy 2000 Family Trust 0 0 0 0
The Kimberly Lynn Macaione 2000 Trust 0 0 0 0
The Kimberly R. Textor 2000 Trust 0 0 0 0
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Kipp M. Nelson Trust 0 0 0 0
The Kyle F. Textor 2000 Trust 0 0 0 0
The Lauren Schiller 2000 Trust 0 0 0 0
The Lawrence R. Buchalter 2000
Annuity Trust I 0 0 0 0
The Lawrence R. Buchalter 2000 Family
Trust 0 0 0 0
The Lee G. Vance 2000 Annuity Trust I 0 0 0 0
The Lee G. Vance 2000 Family Trust 0 0 0 0
The Leslie C. Tortora 2000 Annuity
Trust I 0 0 0 0
Lloyd C. Blankfein 2000 Family Trust 0 0 0 0
Lloyd C. Blankfein 2000 GRAT 0 0 0 0
The Louise Rice Townsend 2000 Trust 0 0 0 0
M. Roch Hillenbrand Trust f/b/o C.
Justin Hillenbrand New Jersey 0 0 0 0
M. Roch Hillenbrand Trust f/b/o Molly
D. Hillenbrand New Jersey 0 0 0 0
The Mallory G. Neidich 2000 Trust 0 0 0 0
The Marc A. Spilker 2000 Family Trust 0 0 0 0
The Mark A. Zurack 2000
Annuity Trust I 0 0 0 0
The Mark A. Zurack 2000 Family Trust 0 0 0 0
The Mark A. Zurack 2000 Issue Trust 0 0 0 0
Mark Dehnert Living Trust Illinois 0 0 0 0
The Mark Schwartz 2000 Annuity Trust I 0 0 0 0
The Mark Tercek 2000 Annuity Trust I 0 0 0 0
The Mark Tercek 2000 Family Trust 0 0 0 0
Marks 2000 0 0 0 0
Marks 2000 (continuing trust) 0 0 0 0
The Mary Agnes Reilly Kiernan 2000
Trust 0 0 0 0
The Mary Ann Casati Trust 0 0 0 0
The Matthew D. Rogers 2000 Trust 0 0 0 0
The Maya Bettina Linden 2000 Trust 0 0 0 0
</TABLE>
30
<PAGE> 31
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Merritt Moore Townsend 2000 Trust 0 0 0 0
The Mesdag Family Trust Delaware 0 0 0 0
The Michael A. Price 2000 Annuity
Trust I 0 0 0 0
The Michael A. Price 2000 Family Trust 0 0 0 0
The Michael D. Ryan 2000 Annuity
Trust I 0 0 0 0
The Michael D. Ryan 2000 Family Trust 0 0 0 0
The Michael J. Zamkow 2000 Annuity
Trust I 0 0 0 0
The Michael J. Zamkow 2000 Family
Trust 0 0 0 0
The Michael Stecher 2000 Trust 0 0 0 0
The Milton R. Berlinski 2000 Annuity
Trust I 0 0 0 0
The Mossavar-Rahmani 2000 Annuity
Trust I 0 0 0 0
The Mossavar-Rahmani 2000 Family Trust 0 0 0 0
Murphy 2000 0 0 0 0
Murphy 2000 (continuing trust) 0 0 0 0
The Natalie Cailyn Rogers 2000 Trust 0 0 0 0
The Nicole Schiller 2000 Trust 0 0 0 0
The Nina B. Haydock 2000 Trust 0 0 0 0
The Peter C. Gerhard 2000 Annuity
Trust I 0 0 0 0
The Peter C. Gerhard 2000 Family Trust 0 0 0 0
The Peter D. Kiernan, III 2000
Annuity Trust I 0 0 0 0
The Peter Kiernan IV 2000 Trust 0 0 0 0
The Peter S. Kraus 2000
Annuity Trust I 0 0 0 0
The Philip D. Murphy 2000 Annuity
Trust I 0 0 0 0
The Philip D. Murphy 2000 Family Trust 0 0 0 0
The Philip Darivoff 2000 Annuity
Trust I 0 0 0 0
The Rachel M. Darivoff 2000 Trust 0 0 0 0
The Ralph F. Rosenberg 2000 Annuity
Trust I 0 0 0 0
The Ralph F. Rosenberg 2000 Family
Trust 0 0 0 0
Randal M. Fippinger-Millennium Trust 0 0 0 0
</TABLE>
31
<PAGE> 32
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Randolph L. Cowen 2000 Family
Trust 0 0 0 0
Rayas Trust Jersey 0 0 0 0
The Rebecca Viniar 2000 Trust 0 0 0 0
The Richard A. Friedman 2000 Annuity
Trust I 0 0 0 0
The Richard A. Friedman 2000 Family
Trust 0 0 0 0
The Richard A. Sapp 2000 Annuity
Trust I 0 0 0 0
The Richard A. Sapp 2000 Family Trust 0 0 0 0
The Richard E. Witten 2000 Annuity
Trust I 0 0 0 0
The Richard G. Sherlund 2000 Annuity
Trust I 0 0 0 0
Robert A. Fippinger, Jr.-Millennium
Trust 0 0 0 0
The Robert B. Litterman 2000 Annuity
Trust I 0 0 0 0
The Robert B. Litterman 2000 Family
Trust 0 0 0 0
The Robert B. Morris III 2000 Annuity
Trust I 0 0 0 0
The Robert J. Hurst 2000 Annuity
Trust I 0 0 0 0
The Robert J. Hurst 2000 Family Trust 0 0 0 0
The Robert J. Katz 2000
Annuity Trust I 0 0 0 0
The Robert J. O Shea 2000 Annuity
Trust I 0 0 0 0
The Robert J. O Shea 2000 Family Trust 0 0 0 0
The Robert J. Pace 2000
Annuity Trust I 0 0 0 0
The Robert J. Pace 2000 Family Trust 0 0 0 0
The Robert K. Steel 2000 Annuity
Trust I 0 0 0 0
The Robert B. Morris III 2000 Family
Trust 0 0 0 0
The Robin Neustein 2000
Annuity Trust I 0 0 0 0
The Samantha Schiller 2000 Trust 0 0 0 0
The Sarah B. Lopatin 2000 Trust 0 0 0 0
The Sarah Delacy Kiernan 2000 Trust 0 0 0 0
The Sarah M. Darivoff 2000 Trust 0 0 0 0
The Sarah Rose Berlinski 2000 Trust 0 0 0 0
</TABLE>
32
<PAGE> 33
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
The Scott B. Kapnick 2000 Annuity
Trust I 0 0 0 0
The Scott B. Kapnick 2000 Family Trust 0 0 0 0
Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0
Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0
The Scott S. Prince Trust 0 0 0 0
The Stephen M. Neidich 2000 Trust 0 0 0 0
The Steven M. Heller, Jr. 2000 Trust 0 0 0 0
The Steven T. Mnuchin 2000 Annuity
Trust I 0 0 0 0
The Steven T. Mnuchin 2000 Family
Trust 0 0 0 0
The Stuart Mark Rothenberg 2000
Annuity Trust I 0 0 0 0
The Stuart Mark Rothenberg 2000
Family Trust 0 0 0 0
The Terence M. O Toole 2000 Annuity
Trust I 0 0 0 0
The Terence M. O Toole 2000 Family
Trust 0 0 0 0
The Tess Augusta Linden 2000 Trust 0 0 0 0
The Thomas K. Montag 2000 Annuity
Trust I 0 0 0 0
The Thomas K. Montag 2000 Family Trust 0 0 0 0
The Tracy Richard Wolstencroft 2000
Annuity Trust I 0 0 0 0
The Tracy Richard Wolstencroft 2000
Family Trust 0 0 0 0
Trust for the benefit of David Ford,
Jr. under Indenture of Trust B of
David B. Ford dated 6/16/00 Pennsylvania 0 0 0 0
Trust for the benefit of Jamie Ford
under Indenture of Trust B of
David B. Ford dated as of 6/16/00 Pennsylvania 0 0 0 0
Trust u/a dated 01/01/93 for the
benefit of Stefanie Luckow New Jersey 0 0 0 0
Trust u/w James Kellogg III New Jersey 0 0 0 0
Vyrona Trust Jersey 0 0 0 0
The Walter H. Haydock 2000 Annuity
Trust I 0 0 0 0
The Walter H. Haydock, Jr. 2000 Trust 0 0 0 0
The William C. Sherlund 2000 Trust 0 0 0 0
The William Keith Litzenberger
</TABLE>
33
<PAGE> 34
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
PLACE OF ITEM 7 SHARED SOLE SHARED
ORGANIZATION (NEW SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
YORK UNLESS POWER OF POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES
-------------------------- ----------------- ----------- --------- ----------- -----------
<S> <C> <C> <C> <C> <C>
2000 Grantor Retained Annuity
Trust 0 0 0 0
The William Keith Litzenberger
Remainder Trust 0 0 0 0
The Zachariah Cobrinik 2000 Annuity
Trust I 0 0 0 0
The Zachariah Cobrinik Family 2000
Trust 0 0 0 0
PARTNERSHIPS
ALS Investment Partners, L.P. Delaware 0 0 0 0
Beech Associates, L.P. Delaware 0 0 0 0
Bermuda Partners, L.P. Delaware 0 0 0 0
Crestley, L.P. Delaware 0 0 0 0
Daniel G. Brennan Family Limited
Partnership Illinois 0 0 0 0
Greenley Partners, L.P. Delaware 0 0 0 0
HEMPA Limited Partnership Delaware 0 0 0 0
JSS Investment Partners, L.P. Delaware 0 0 0 0
The Litzenberger Family Limited
Partnership Delaware 0 0 0 0
Mesdag Family Limited Partnership Delaware 0 0 0 0
Mijen Family Partnership Illinois 0 0 0 0
Opatrny Investment Partners, L.P. Delaware 0 0 0 0
Rantz GS Investment Partners, L.P. Delaware 0 0 0 0
The Rizner Family Limited Partnership Illinois 0 0 0 0
Savitz Investment Partners, L.P. Delaware 0 0 0 0
Silverman Partners, L.P. Delaware 0 0 0 0
Trott GS Investment Partners, L.P. Delaware 0 0 0 0
Tuft GS Investment Partners, L.P. Delaware 0 0 0 0
Windy Hill Investment Company II, L.P. Delaware 0 0 0 0
Winkelried Investment Partners, L.P. Delaware 0 0 0 0
CORPORATIONS
Anahue Limited Jersey 0 0 0 0
Guapulo Holdings Ltd Jersey 0 0 0 0
HJS2 Limited Cayman Islands 0 0 0 0
IAT Reinsurance Syndicate Ltd. Bermuda 0 0 0 0
Majix Limited Jersey 0 0 0 0
Melalula Limited Jersey 0 0 0 0
RJG Holding Company Cayman Islands 0 0 0 0
Robinelli Limited Jersey 0 0 0 0
Vyrona Holdings Limited Jersey 0 0 0 0
Zurrah Limited Jersey 0 0 0 0
</TABLE>
34
<PAGE> 35
This Amendment No. 11 to a Statement on Schedule 13D amends and
restates in its entirety such Schedule 13D (as so amended and restated, this
"Schedule"). This Amendment No. 11 is being filed primarily because, as
described under Item 4 below, certain Covered Persons (as defined below) have
indicated their intent to sell up to an aggregate of 6,922,950 Covered Shares in
the Rule 144 Program (as defined below) during the fiscal quarter ending
February 23, 2001 and certain Covered Persons have indicated their intent to
donate an aggregate of 2,393,322 Covered Shares to public charities and private
foundations.
Item 1. Security and Issuer
This Schedule 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) The cover page to this Schedule and Appendix A
hereto contain the names of the persons ("Covered Persons") who beneficially own
Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as
of May 7, 1999, to which the Covered Persons are party (as amended from time to
time, the "Shareholders' Agreement"). This filing is being made on behalf of all
of the Covered Persons, and their agreement that this filing may be so made is
contained in the Shareholders' Agreement.
This Schedule contains certain information relating to Sumitomo Bank
Capital Markets, Inc. ("SBCM") and Kamehameha Activities Association ("KAA"),
who may be deemed to be members of a "group" with the Covered Persons. Each
Covered Person hereby disclaims beneficial ownership of the shares of Common
Stock and other equity securities of GS Inc. subject to the Voting Agreements
between SBCM and KAA, respectively, on the one hand, and GS Inc., on the other
hand (respectively, the "SBCM Shares" and the "KAA Shares"). All information
contained in this Schedule relating to SBCM and KAA has been included based upon
information provided by SBCM and KAA; the separate Schedules 13D filed by SBCM
and KAA and any amendments thereto should be referred to for information
relating to SBCM and KAA, respectively.
Appendix A hereto also provides the citizenship or place of
organization of each Covered Person. Each Covered Person who is an individual
(an "Individual Covered Person") is a senior professional employed or formerly
employed by GS Inc. or a spouse or former spouse thereof. GS Inc. is a global
investment banking and securities firm. Each Covered Person who is not an
individual is a trust, limited partnership or corporation created by or for an
Individual Covered Person solely for estate planning purposes. Each Covered
Person listed in Appendix A under the caption "Partnerships" is a limited
partnership of which an Individual Covered Person is general partner. Each
Covered Person listed in Appendix A under the caption "Corporations" (a
"Corporate Covered Person") is controlled by an Individual Covered Person (the
"Controlling Covered Person"). The name, citizenship, business address and
present principal occupation or employment of each of the directors and
executive officers of each Corporate Covered Person (other than the Controlling
Covered Person) is set forth in Annex A hereto. The business address of each
Covered Person for purposes of this Schedule is: (i) in the case of entities
organized in Jersey, 26 New Street, St. Helier, Jersey, JE4 3RA; (ii) in the
case of entities organized in the Cayman Islands, P.O. Box 309, Ugland House,
South Church Street, George Town, Grand Cayman, Cayman Islands; (iii) in the
case of entities organized in Bermuda, Victoria Hall, 11 Victoria Street,
Hamilton HM11, Bermuda; and (iv) in the case of all other Covered Persons, 85
Broad Street, New York, New York 10004.
(d), (e) Except as described in Annex A or Annex B, during the last
five years no Covered Person or, to the best knowledge of the Covered Persons,
any executive officer or director of a Covered Person, has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction resulting in such Covered Person being subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
The Covered Shares have been and will be acquired by the Covered
Persons in the following manner: (i) the former profit participating limited
partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.")
(each such former partner, a "PMD" and, collectively, the "PMDs") acquired
certain Covered Shares
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<PAGE> 36
in exchange for their interests in Group L.P. and certain of its affiliates and
investee corporations; (ii) the former owners (the "Hull Covered Persons") of
Hull and Associates, L.L.C. ("Hull") acquired certain Covered Shares in exchange
for their interests in Hull; (iii) the former members of SLK LLC (the "SLK
Covered Persons") acquired the Covered Shares in exchange for their interests in
SLK LLC (together with its subsidiaries and affiliates, "SLK"); (iv) certain
Individual Covered Persons have acquired and will acquire beneficial ownership
of certain other Covered Shares in connection with GS Inc.'s initial public
offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar
plans; (v) certain Individual Covered Persons (the "Transferee Covered Persons")
acquired their Covered Shares from other Individual Covered Persons in
accordance with pre-existing contractual arrangements or judicial decrees; and
(vi) certain Covered Persons (the "Estate Planning Covered Persons") have
acquired and will acquire beneficial ownership of their Covered Shares as
contributions or gifts made by Individual Covered Persons.
Covered Persons may from time to time acquire Common Stock not subject
to the Shareholders' Agreement ("Uncovered Shares") for investment purposes.
Such Common Stock may be acquired with personal funds of or funds borrowed by
such Covered Person.
Item 4. Purpose of Transactions
The Individual Covered Persons, other than the Hull Covered Persons,
the SLK Covered Persons and the Transferee Covered Persons, acquired the Covered
Shares in connection with the succession of GS Inc. to the business of Group
L.P. and GS Inc.'s initial public offering and through certain employee
compensation, benefit or similar plans of GS Inc. The Hull Covered Persons
acquired the Covered Shares in connection with the acquisition by GS Inc. of
Hull and through certain employee compensation, benefit or similar plans of GS
Inc. The SLK Covered Persons acquired the Covered Shares in connection with the
acquisition by GS Inc. of SLK. The Transferee Covered Persons acquired their
Covered Shares from other Individual Covered Persons in accordance with
pre-existing contractual arrangements or judicial decrees. As a condition to the
transfer of the Covered Shares, the Shareholders' Committee required that each
Transferee Covered Person agree to become a party to the Shareholders' Agreement
and to be bound by the Partner Transfer Restrictions referred to in Item 6
below. The Estate Planning Covered Persons acquired the Covered Shares as
contributions or gifts made for estate planning purposes by Individual Covered
Persons, and the provisions of the organizational documents of certain Estate
Planning Covered Persons provide for the distribution of Common Stock to certain
other Covered Persons. As a condition to the contribution or gift of the Covered
Shares, the Shareholders' Committee required that each Estate Planning Covered
Person agree to become a party to the Shareholders' Agreement and to be bound by
the Partner Transfer Restrictions referred to in Item 6 below.
The board of directors of GS Inc. has approved a program (the "Rule 144
Program") to permit the PMDs and former direct and indirect owners of Hull to
sell, in a coordinated manner, a portion of their shares of Common Stock in
accordance with the volume and manner of sale limitations of Rule 144 under the
Securities Act of 1933, as amended ("Rule 144"). During GS Inc.'s fiscal quarter
ending February 23, 2001, each of the Covered Persons listed in Annex C intends
to sell up to the number of shares of Common Stock set forth opposite such
Covered Person's name in Annex C under the Rule 144 Program (an aggregate of
6,922,950 shares for all Covered Persons). It is currently anticipated that
these sales will commence during the week of January 2, 2001. Sales under the
Rule 144 Program are made on behalf of the participating Covered Persons
pursuant to a Power of Attorney, a form of which is filed as an Exhibit to this
Schedule. The Rule 144 Program may continue in subsequent fiscal quarters, but
can be suspended or terminated at any time. GS Inc. has not solicited
indications of interest from any of the Covered Persons as to whether they
would like to sell shares of Common Stock in subsequent fiscal quarters.
It is anticipated that on December 22, 2000, 118 Covered Persons will
donate an aggregate of 2,009,843 Covered Shares to 118 private charitable
foundations and 39 Covered Persons will donate an aggregate of 383,479 Covered
Shares to 43 public charitable institutions (the "Charitable Donations").
Covered Persons may from time to time acquire Uncovered Shares for
investment purposes. Except as described in Item 6 and except for the
acquisition by Covered Persons of Common Stock pursuant to employee
compensation, benefit or similar plans of GS Inc. in the future or as described
above, none of the Covered Persons 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).
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<PAGE> 37
Each Covered Person is expected to evaluate on an ongoing basis GS
Inc.'s financial condition and prospects and his or her interests in and with
respect to GS Inc. Accordingly, each Covered Person may change his or her plans
and intentions at any time and from time to time. In particular, each Covered
Person may at any time and from time to time acquire or dispose of shares of
Common Stock.
Item 5. Interest in Securities of the Issuer
(a) Rows (11) and (13) of the cover page to this Schedule, Appendix A
and Annex A are hereby incorporated by reference. Each Covered Person hereby
disclaims beneficial ownership of any shares of Common Stock held by any other
Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA
Shares. Except as described in Annex D, none of the shares of Common Stock
reported in rows (11) and (13) of the cover page to this Schedule and Appendix A
are shares as to which there is a right to acquire exercisable within 60 days.
(b) Rows (7) through (10) of the cover page to this Schedule, Appendix
A and Annex A set forth the percentage range of Covered Shares as to which there
is sole power to vote or direct the vote or to dispose or direct the
disposition; the number of Uncovered Shares 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 Covered
Shares by Covered Persons is shared with each other Covered Person, as described
below in response to Item 6. Each Covered Person hereby disclaims beneficial
ownership of any shares of Common Stock held by any other Covered Person and
disclaims beneficial ownership of the SBCM Shares and the KAA Shares.
(c) Except as described in Annex E or previously reported on Schedule
13D, no Covered Person has effected any transactions in Common Stock in the past
60 days.
(d), (e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer
Each Covered Person listed on the cover page to this Schedule and
Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders'
Agreement, and forms of the Counterparts to the Shareholders' Agreement executed
by or on behalf of the Estate Planning Covered Persons, certain Hull Covered
Persons and the Transferee Covered Persons, are filed as Exhibits to this
Schedule and the following summary of the terms of the Shareholders' Agreement
is qualified in its entirety by reference thereto. In the case of each SLK
Covered Person, certain of the provisions and restrictions discussed below are
set forth in an Amended and Restated Member Agreement, dated as of September 10,
2000, and amended and restated as of October 26, 2000 (a "Member Agreement"),
between such SLK Covered Person and GS Inc. The form of Member Agreement is
filed as an Exhibit to this Schedule and the following summary is qualified in
its entirety by reference thereto. References to the "board of directors" are to
the board of directors of The Goldman Sachs Group, Inc.
The Covered Shares include generally all Common Stock acquired or to be
acquired from GS Inc. by the Covered Persons. Covered Shares include: shares of
Common Stock acquired by the PMDs in exchange for their interests in Group L.P.
and certain of its affiliates; shares of Common Stock acquired by the Hull
Covered Persons in exchange for their interests in Hull; shares of Common Stock
acquired by the SLK Covered Persons in exchange for their interests in SLK;
shares of Common Stock acquired or to be acquired through the grant of
restricted stock units, stock options and interests in a defined contribution
plan (except for certain Uncovered Shares as specified in Appendix A); shares of
Common Stock acquired by the Transferee Covered Persons in accordance with
pre-existing contractual arrangements or judicial decrees; shares of Common
Stock acquired or to be acquired by Estate Planning Covered Persons from
Individual Covered Persons for estate planning purposes and shares of Common
Stock to be distributed by Estate Planning Covered Persons to Individual Covered
Persons or to other Estate Planning Covered Persons; and, unless otherwise
determined by the board of directors and the Shareholders' Committee, any shares
of Common Stock acquired or to be acquired by the Covered Persons from GS Inc.
through any other employee compensation, benefit or similar plan. Covered Shares
do not include any shares of Common Stock purchased or to be purchased by a
Covered Person in the open market or in a subsequent underwritten public
offering.
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<PAGE> 38
TRANSFER RESTRICTIONS
Each Individual Covered Person (other than the Transferee Covered
Persons and, with respect to the shares of Common Stock received in exchange for
their interests in Hull, the Hull Covered Persons) has agreed in the
Shareholders' Agreement, among other things, to retain beneficial ownership of
Covered Shares at least equal to 25% of the cumulative number of Covered Shares
beneficially owned by him or her at the time he or she became a Covered Person
or acquired by him or her thereafter and with no credit for dispositions (the
"General Transfer Restrictions") for so long as he or she is a Covered Person
and an employee of GS Inc. (an "Employee Covered Person").
The PMDs will also be subject to limitations on their ability to
transfer Covered Shares received in connection with the succession of GS Inc. to
the business of Group L.P. These restrictions will also apply to the Covered
Shares acquired by the Hull Covered Persons in exchange for their interests in
Hull and the Covered Shares acquired by the SLK Covered Persons in exchange for
their interests in SLK. Under these restrictions, each such PMD, Hull Covered
Person and SLK Covered Person has agreed not to transfer such Covered Shares
until May 7, 2002, the third anniversary of the date of GS Inc.'s initial public
offering of its Common Stock (the "Partner Transfer Restrictions" and, together
with the General Transfer Restrictions, the "Transfer Restrictions"). The
Partner Transfer Restrictions will lapse as to such Covered Shares in equal
installments on each of May 7, 2002, May 7, 2003 and May 7, 2004. The Covered
Shares held by each Estate Planning Covered Person and Transferee Covered Person
are subject to the same Partner Transfer Restrictions that applied to such
Covered Shares prior to such Covered Person's acquisition thereof. The Transfer
Restrictions applicable to an Individual Covered Person (and his or her Estate
Planning Covered Persons) terminate upon the death of the Individual Covered
Person.
WAIVERS
Except in the case of a third-party tender or exchange offer, the
Partner Transfer Restrictions may be waived or terminated at any time by the
Shareholders' Committee described below under "Information Regarding the
Shareholders' Committee". The Shareholders' Committee also has the power to
waive the Transfer Restrictions to permit Covered Persons to: participate as
sellers in underwritten public offerings of Common Stock and tender and exchange
offers and share repurchase programs by GS Inc.; transfer Covered Shares to
charities, including charitable foundations; transfer Covered Shares held in
employee benefit plans; and transfer Covered Shares in specific transactions
(for example, to immediate family members and trusts) or other circumstances.
The Shareholders' Committee permitted the transfers of Covered Shares to the
Estate Planning Covered Persons and the Transferee Covered Persons, on the
condition that each Estate Planning Covered Person and Transferee Covered Person
agree to become a party to the Shareholders' Agreement and to be bound by the
Partner Transfer Restrictions.
On July 31, 2000, the Shareholders' Committee waived the Partner
Transfer Restrictions solely to permit certain Covered Persons to pledge a
portion of their Covered Shares to obtain approximately $400,000,000 in loan
commitments to make investments from time to time in certain merchant banking
funds sponsored by GS Inc. The loan commitments are for five years, may be drawn
upon from time to time and generally require that any loans be collateralized by
shares of Common Stock with a market value four times that of the amount
borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of
1934, as amended, the pledgees did not acquire beneficial ownership of the
pledged shares by virtue of the pledge.
The Shareholders' Committee and, in the case of the Hull Covered
Persons, the board of directors intend to waive the Partner Transfer
Restrictions to permit the sale of up to an aggregate of 6,922,950 Covered
Shares by certain Covered Persons during GS Inc.'s fiscal quarter ending
February 23, 2001 under the Rule 144 Program described in Item 4 above and in
Annex C hereto and to permit the Charitable Donations described in Item 4
above.
In the case of a third-party tender or exchange offer, the Transfer
Restrictions may be waived or terminated: if the board of directors is
recommending acceptance or is not making any recommendation with respect to
acceptance of the tender or exchange offer, by a majority of the Voting
Interests (as defined below); or if the board of directors is recommending
rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting
Interests.
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<PAGE> 39
In the case of a tender or exchange offer by GS Inc., a majority of the
outstanding Voting Interests may also elect to waive or terminate the Transfer
Restrictions.
VOTING
Prior to any vote of the shareholders of GS Inc., the Shareholders'
Agreement requires a separate, preliminary vote of the Voting Interests on each
matter upon which a vote of the shareholders is proposed to be taken (the
"Preliminary Vote"). Each Covered Share held by an Employee Covered Person and
each other Covered Share subject to the Partner Transfer Restrictions will be
voted in accordance with the majority of the votes cast by the Voting Interests
in the Preliminary Vote. In elections of directors, each Covered Share will be
voted in favor of the election of those persons receiving the highest numbers of
votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests"
are Covered Shares beneficially owned by all Covered Persons through December
31, 2000 and thereafter are Covered Shares beneficially owned by all Employee
Covered Persons.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits the Covered Persons from
engaging in certain activities relating to any securities of GS Inc. with any
person who is not a Covered Person or a director, officer or employee of GS Inc.
("Restricted Persons"). Among other things, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
Covered Shares in a voting trust or subject any Covered Shares to any voting
agreement or arrangement that includes any Restricted Person; form, join or in
any way participate in a "group" with any Restricted Person; or together with
any Restricted Person, propose certain transactions with GS Inc. or seek the
removal of any directors of GS Inc. or any change in the composition of the
board of directors.
TERM, AMENDMENT AND CONTINUATION
The Shareholders' Agreement is to continue in effect until the earlier
of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the
outstanding Voting Interests. The Partner Transfer Restrictions will not
terminate upon the expiration or termination of the Shareholders' Agreement
unless previously waived or terminated or unless subsequently waived or
terminated by the board of directors. The Shareholders' Agreement may generally
be amended at any time by a majority of the outstanding Voting Interests.
Unless otherwise terminated, in the event of any transaction in which a
third party succeeds to the business of GS Inc. and in which Covered Persons
hold securities of the third party, the Shareholders' Agreement will remain in
full force and effect as to the securities of the third party, and the third
party shall succeed to the rights and obligations of GS Inc. under the
Shareholders' Agreement.
INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE
The Shareholders' Committee shall at any time consist of each of those
individuals who are both Employee Covered Persons and members of the board of
directors and who agree to serve as members of the Shareholders' Committee. If
there are less than three individuals who are both Employee Covered Persons and
members of the board of directors and who agree to serve as members of the
Shareholders' Committee, the Shareholders' Committee shall consist of each such
individual plus such additional individuals who are Employee Covered Persons and
who are selected pursuant to procedures established by the Shareholders'
Committee as shall assure a Shareholders' Committee of not less than three
members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr.,
Robert J. Hurst, John A. Thain and John L. Thornton are the members of the
Shareholders' Committee.
VOTING AGREEMENTS
Both SBCM and KAA have, in separate voting agreements, each dated April
30, 1999 (each, a "Voting Agreement"), 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 Voting
Agreements will result in the shares of Common Stock owned by SBCM and KAA being
voted in the same manner as the Covered Shares. The Covered Persons are not
parties to the Voting Agreements, and the Voting Agreements are not enforceable
by the Covered Persons, will continue to exist independent of the existence
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<PAGE> 40
of the Shareholders' Agreement and may be amended, waived or canceled by GS Inc.
without any consent or approval of the Covered Persons. The Voting Agreements
are filed as Exhibits to this Schedule and the foregoing summary of these
agreements is qualified in its entirety by reference thereto. Each Covered
Person hereby disclaims beneficial ownership of the SBCM Shares and the KAA
Shares.
PLEDGE AGREEMENTS
Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or
other assets with an initial value equal to $15 million for each such person who
initially serves on the board of directors, the Management Committee or the
Partnership Committee of GS Inc. and $10 million for each other such person.
This pledge secures the liquidated damages provision of a noncompetition
agreement which each such person has entered into with GS Inc. The form of
agreement relating to noncompetition and other covenants and the form of pledge
agreement, as amended, are filed as Exhibits to this Schedule and the foregoing
summary of these agreements is qualified in its entirety by reference thereto.
In connection with the transfers to Estate Planning Covered Persons who
are corporations, the IPO Pledge was replaced with a guarantee and pledge
agreement that was entered into by each corporate Estate Planning Covered
Person. In addition, each Controlling Covered Person was required to pledge the
capital stock of the corporate Estate Planning Covered Person to GS Inc. in
order to further secure the Controlling Covered Person's obligations under the
noncompetition agreement. The forms of the pledge agreements, as amended, are
filed as Exhibits to this Schedule and the foregoing summary of these agreements
is qualified in its entirety by reference thereto.
In connection with GS Inc.'s acquisition of SLK, each SLK Covered
Person who is an individual has pledged to GS Inc. Common Stock or other assets
to secure the SLK Covered Person's obligation under his or her Member Agreement
to pay liquidated damages upon breach of certain provisions relating to
noncompetition and nonsolicitation. The form of pledge agreement, as amended, is
filed as an Exhibit to this Schedule and the foregoing summary of this agreement
is qualified in its entirety by reference thereto.
REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS
In connection with the donation of shares of Common Stock by certain
Covered Persons to certain charitable organizations on December 13, 1999, GS
Inc. entered into a Registration Rights Instrument and Supplemental Registration
Rights Instrument (the "Charitable Supplement"). The following is a description
of the Registration Rights Instrument, as supplemented by the Charitable
Supplement. The Registration Rights Instrument and the Charitable Supplement are
filed as Exhibits to this Schedule, and the following summary of these
agreements is qualified in its entirety by reference thereto. GS Inc. intends to
enter into a registration rights instrument similar to the Charitable Supplement
in connection with the Charitable Donations described in Item 4 above.
Pursuant to the Registration Rights Instrument and the Charitable
Supplement, GS Inc. has agreed to register the donated shares of Common Stock
for resale by charitable foundations and public charities. GS Inc. has agreed in
the Registration Rights Instrument and the Charitable Supplement to pay all of
the fees and expenses relating to the offering by the charitable organizations,
other than any agency fees and commissions or underwriting commissions or
discounts or any transfer taxes incurred by the charitable organizations in
connection with their resales. GS Inc. also has agreed to indemnify the
charitable organizations against certain liabilities, including those arising
under the Securities Act.
GS Inc. may amend the Registration Rights Instrument and the Charitable
Supplement in any manner that it deems appropriate, without the consent of any
charitable organization. However, GS Inc. may not make any amendment that would
cause the shares of Common Stock to fail to be "qualified appreciated stock"
within the meaning of Section 170 of the Internal Revenue Code. In addition, GS
Inc. may not make any amendment that would materially and adversely affect the
rights of any charitable organization without the consent of a majority of the
materially and adversely affected charitable organizations.
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<PAGE> 41
REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS
In connection with the sale by certain Covered Persons (the "Employee
Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to
the terms of restricted stock units, GS Inc. entered into a Supplemental
Registration Rights Instrument (the "EMD Supplement"), which supplements the
Registration Rights Instrument referred to above. The following is a description
of the Registration Rights Instrument, as supplemented by the EMD Supplement.
The Registration Rights Instrument and the EMD Supplement are filed as Exhibits
to this Schedule, and the following summary of these agreements is qualified in
its entirety by reference thereto.
Pursuant to the Registration Rights Instrument and the EMD Supplement,
GS Inc. has agreed to pay all of the fees and expenses relating to the
registered offering of shares of Common Stock held by the Employee Managing
Directors, other than any agency fees and commissions or underwriting
commissions or discounts or any transfer taxes incurred by the Employee Managing
Directors in connection with the sales. GS Inc. also has agreed to indemnify the
Employee Managing Directors against certain liabilities, including those arising
under the Securities Act.
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Item 7. Material to be Filed as Exhibits
<TABLE>
<CAPTION>
Exhibit Description
------- -----------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by
reference to Exhibit A to the Schedule 13D filed May 17, 1999
(File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice
Pauahi Bishop and Kamehameha Activities Association (incorporated
by reference to Exhibit B to the Initial Schedule 13D).
C. 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 C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other Covenants
(incorporated by reference to Exhibit 10.20 to the registration
statement on Form S-1 (File No. 333-74449) filed by The Goldman
Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the registration
statement on Form S-1 (File No. 333-74449) filed by The Goldman
Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as
Exhibit E), dated July 10, 2000 (incorporated by reference to
Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed
July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10, 1999
(incorporated by reference to Exhibit G to Amendment No. 1 to the
Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
H. Supplemental Registration Rights Instrument, dated as of December
10, 1999 (incorporated by reference to Exhibit H to Amendment No.
1 to the Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former profit
participating limited partners of The Goldman Sachs Group, L.P.
(incorporated by reference to Exhibit I to Amendment No. 2 to the
Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former retired
limited partners of The Goldman Sachs Group, L.P. who are
currently managing directors of The Goldman Sachs Group, Inc.
(incorporated by reference to Exhibit J to Amendment No. 2 to the
Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)).
K. Form of Counterpart to Shareholders' Agreement for non-individual
former owners of Hull and Associates, L.L.C. (incorporated by
reference to Exhibit K to Amendment No. 3 to the Initial Schedule
13D, filed June 30, 2000 (File No. 005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment No. 3
to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
</TABLE>
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<PAGE> 43
<TABLE>
<S> <C>
N. Form of Guarantee and Pledge Agreement for non-U.S. corporations
(incorporated by reference to Exhibit N to Amendment No. 3 to the
Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations (incorporated by reference to Exhibit O to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version) (incorporated by reference to
Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed
June 30, 2000 (File No. 005-56295)).
Q. Form of Counterpart to Shareholders' Agreement for Transferee
Covered Persons (incorporated by reference to Exhibit Q to
Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000
(File No. 005-56295)).
R. Supplemental Registration Rights Instrument, dated as of June 19,
2000 (incorporated by reference to Exhibit R to Amendment No. 5
to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
S. Supplemental Registration Rights Instrument, dated as of July 31,
2000 (incorporated by reference to Exhibit S to Amendment No. 5
to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000
(incorporated by reference to Exhibit T to Amendment No. 5 to the
Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)).
U. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000
(File No. 005-56295)).
V. Underwriting Agreement (Asia/Pacific Version), dated as of August
1, 2000 (incorporated by reference to Exhibit V to Amendment No.
5 to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
W. Form of Power of Attorney to be executed by Covered Persons
participating in the Rule 144 Program (incorporated by reference
to Exhibit W to Amendment No. 8 to the Initial Schedule 13D,
filed September 25, 2000 (File No. 005-56295)).
X. Power of Attorney (incorporated by reference to Exhibit I to
Amendment No. 1 to the Initial Schedule 13D, filed December 17,
1999 (File No. 005-56295)).
Y. Form of Amended and Restated Member Agreement, dated as of
September 10, 2000, and amended and restated as of October 26,
2000, between GS Inc. and each SLK Covered Person (incorporated
by reference to Exhibit Y to Amendment No. 10 to the Initial
Schedule 13D, filed November 3, 2000 (File No. 005-56295)).
Z. Form of Pledge Agreement, dated as of October 31, 2000, between
GS Inc. and each SLK Covered Person (incorporated by reference to
Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed
November 3, 2000 (File No. 005-56295)).
</TABLE>
43
<PAGE> 44
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
COVERED PERSONS
<TABLE>
<CAPTION>
CONVICTIONS OR BENEFICIAL
VIOLATIONS OF OWNERSHIP OF THE
FEDERAL OR STATE COMMON STOCK OF THE
LAWS WITHIN THE GOLDMAN SACHS
NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC.
-------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Steven M. USA 85 Broad Street Managing Director, None Covered Person, so
Bunson New York, NY The Goldman Sachs ownership is as set
10004 Group, Inc. forth in or
incorporated into
Item 5 above.
-------------------------------------------------------------------------------------------------------------------
Russell E. USA 85 Broad Street Managing Director, None Covered Person, so
Makowsky New York, NY The Goldman Sachs ownership is as set
10004 Group, Inc. forth in or
incorporated into
Item 5 above.
-------------------------------------------------------------------------------------------------------------------
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
-------------------------------------------------------------------------------------------------------------------
John D. Amaral UK Victoria Hall Vice President/ None None
11 Victoria St. Account Manager,
Hamilton HM11 J&H Marsh & McLennan
Bermuda
-------------------------------------------------------------------------------------------------------------------
Marguerite R. USA 120 Broadway Vice President, None None
Gorman New York, NY Spear, Leeds &
10271 Kellogg, L.P.
-------------------------------------------------------------------------------------------------------------------
Richard D. UK 41 Cedar Avenue Partner, Appleby, None None
Spurling Hamilton HM12 Spurling & Kempe
Bermuda
-------------------------------------------------------------------------------------------------------------------
</TABLE>
44
<PAGE> 45
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
45
<PAGE> 46
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS
During GS Inc.'s fiscal quarter ending February 23, 2001, each of the Covered
Persons listed below intends to sell up to the number of shares of Common Stock
set forth opposite such Covered Person's name under the Rule 144 Program
referred to in Item 4 above.
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ------
<S> <C>
Bradley I. Abelow 14,847
Paul M. Achleitner 34,667
Jonathan R. Aisbitt 76,856
Armen A. Avanessians 35,000
David Baum 15,338
Frank A. Bednarz 934
Ron E. Beller 32,377
Lloyd C. Blankfein 85,665
Peter L. Briger, Jr. 33,511
Richard J. Bronks 16,357
Lawrence R. Buchalter 25,952
Michael J. Carr 19,325
Christopher J. Carrera 16,196
Mary Ann Casati 11,515
Zachariah Cobrinik 26,526
Abby Joseph Cohen 10,000
Gary D. Cohn 42,553
Christopher A. Cole 25,000
Carlos A. Cordeiro 50,570
Henry Cornell 50,000
Jon S. Corzine 174,670
Claudio Costamagna 18,711
Frank L. Coulson, Jr. 64,271
Philip M. Darivoff 12,846
Timothy D. Dattels 30,721
Gavyn Davies 50,000
David A. Dechman 16,096
Joseph Della Rosa 47,543
Alexander C. Dibelius 4,045
John O. Downing 45,000
Connie K. Duckworth 41,905
C. Steven Duncker 25,000
Glenn P. Earle 29,930
Paul S. Efron 16,539
Aubrey Ellis, Jr. 2,000
J. Michael Evans 69,756
W. Mark Evans 90,000
Pieter Maarten Feenstra 17,063
Lawton W. Fitt 25,000
David B. Ford 64,807
Edward C. Forst 13,577
Christopher G. French 16,713
Richard A. Friedman 92,373
Peter C. Gerhard 50,185
Joseph H. Gleberman 60,665
Jeffrey B. Goldenberg 14,046
Jacob D. Goldfield 53,606
Geoffrey T. Grant 28,381
</TABLE>
46
<PAGE> 47
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ------
<S> <C>
Eric P. Grubman 34,166
Joseph D. Gutman 15,000
Robert S. Harrison 33,566
Thomas J. Healey 50,792
Sylvain M. Hefes 3,002
David L. Henle 10,000
Mary C. Henry 25,000
M. Roch Hillenbrand 15,000
Jacquelyn M. Hoffman-Zehner 23,615
Robert J. Hurst 30,000
Francis J. Ingrassia 36,622
Timothy J. Ingrassia 10,000
Reuben Jeffery III 60,971
Stefan J. Jentzsch 15,778
Ann F. Kaplan 56,686
Barry A. Kaplan 23,062
Scott B. Kapnick 56,367
Robert J. Katz 60,000
Kevin W. Kennedy 83,474
Douglas W. Kimmelman 7,000
Bradford C. Koenig 33,536
Jonathan L. Kolatch 35,716
David G. Lambert 22,584
Thomas D. Lasersohn 16,363
Matthew G. L'Heureux 17,170
Lawrence H. Linden 55,336
Robert Litterman 33,504
Robert H. Litzenberger 10,137
Jonathan M. Lopatin 31,092
Michael R. Lynch 70,000
Peter G.C. Mallinson 55,907
Arthur S. Margulis, Jr. 9,900
Ronald G. Marks 27,462
Eff W. Martin 66,977
John P. McNulty 91,171
E. Scott Mead 45,000
Sanjeev K. Mehra 18,409
T. Willem Mesdag 43,724
Eric M. Mindich 57,020
Masanori Mochida 77,444
Karsten N. Moller 31,052
Thomas K. Montag 52,059
Robert B. Morris III 60,179
Sharmin Mossavar-Rahmani 64,249
Edward A. Mule 48,289
Thomas S. Murphy, Jr. 11,781
Philip D. Murphy 20,000
Avi M. Nash 10,480
Daniel M. Neidich 68,418
Kipp M. Nelson 31,970
Robin Neustein 12,500
Michael E. Novogratz 14,538
Terence J. O'Neill 54,649
Timothy J. O'Neill 64,000
Donald C. Opatrny, Jr. 59,472
Robert J. O'Shea 51,759
Greg M. Ostroff 11,849
</TABLE>
47
<PAGE> 48
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ------
<S> <C>
Terence M. O'Toole 70,000
Robert J. Pace 12,313
Scott M. Pinkus 52,625
Timothy C. Plaut 35,751
Wiet H.M. Pot 69,996
John J. Powers 50,000
Michael A. Price 16,011
Scott Prince 13,826
Stephen D. Quinn 57,848
Michael G. Rantz 31,893
Girish V. Reddy 15,505
Arthur J. Reimers III 39,166
James P. Riley, Jr. 58,411
Simon M. Robertson 46,317
J. David Rogers 63,310
Emmanuel Roman 16,599
Ralph Rosenberg 12,420
Stuart M. Rothenberg 30,151
Michael S. Rubinoff 16,330
Richard M. Ruzika 15,701
Jeri Lynn Ryan 9,189
John C. Ryan 18,000
Michael D. Ryan 10,000
Richard A. Sapp 80,000
Joseph Sassoon 51,446
Tsutomu Sato 20,455
Muneer A. Satter 29,078
Jonathan S. Savitz 9,908
Peter Savitz 26,563
Howard B. Schiller 31,377
Antoine Schwartz 17,165
Eric S. Schwartz 56,655
Charles B. Seelig, Jr. 50,000
Steven M. Shafran 23,974
Richard G. Sherlund 37,564
Michael S. Sherwood 53,594
Howard A. Silverstein 20,000
Dinakar Singh 16,087
Christian J. Siva-Jothy 16,500
Cody J Smith 36,371
Jonathan S. Sobel 16,052
Marc A. Spilker 29,322
Daniel W. Stanton 40,000
Esta E. Stecher 37,081
Cathrine S. Steck 12,359
Fredric E. Steck 20,000
Robert K. Steel 100,000
Gene T. Sykes 40,000
Mark R. Tercek 26,628
Donald F. Textor 33,921
John R. Tormondsen 25,000
Leslie C. Tortora 62,455
John L. Townsend III 30,142
Byron D. Trott 20,000
Thomas E. Tuft 70,214
Malcolm B. Turnbull* 17,192
</TABLE>
--------
* Includes shares held by a corporation wholly owned by the Covered Person.
48
<PAGE> 49
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ------
<S> <C>
John E. Urban 16,314
Lee G. Vance 41,378
David A. Viniar 70,000
Thomas B. Walker III 76,145
George H. Walker IV 15,092
Patrick J. Ward 97,461
George W. Wellde, Jr. 40,000
Anthony G. Williams 56,010
Gary W. Williams 45,000
Jon Winkelried 56,072
Richard E. Witten 67,001
Yasuyo Yamazaki 19,027
Danny O. Yee 35,077
Michael J. Zamkow 39,134
Gregory H. Zehner 24,388
Joseph R. Zimmel 74,398
Barry L. Zubrow 61,000
Mark A. Zurack 29,327
TRUSTS
The Guapulo Trust 35,625
PARTNERSHIPS
Daniel G. Brennan Family 5,097
Limited Partnership
The Rizner Family Limited 7,623
Partnership
CORPORATIONS
HJS2 Limited 10,697
Majix Limited 22,000
Melalula Limited 61,536
Vyrona Holdings Limited 64,648
</TABLE>
49
<PAGE> 50
ANNEX D
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS
An aggregate of 32,046 shares of Common Stock are deliverable to Covered
Persons upon the exercise of stock options that vested and became exercisable on
September 25, 2000. Upon delivery, these shares of Common Stock will be Covered
Shares.
On January 2, 2001, 90,649 shares of Common Stock will be delivered to Covered
Persons pursuant to the terms of an equal number of restricted stock units.
These shares of Common Stock will be Covered Shares.
50
<PAGE> 51
ANNEX E
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE
COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON
SCHEDULE 13D
On November 27, 2000, 202 new Managing Directors at GS Inc. became Covered
Persons. These new Managing Directors collectively own 330,020 Covered Shares
and 441 Uncovered Shares.
The following sales of shares of Common Stock were made by the following
Covered Persons through Mellon Investor Services, L.L.C. for cash on the New
York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
------------------------------------------------------------------------------------
<S> <C> <C> <C>
Douglas W. Caterfino October 19, 2000 150 $101.75
Kenneth W. Willman October 19, 2000 300 101.75
Oliver L. Frankel October 20, 2000 700 103.44
Sofia Katzap October 20, 2000 397 103.44
John J. Masterson October 20, 2000 200 103.44
John P. Rustum October 20, 2000 100 103.44
Melissa R. Brown October 23, 2000 1,000 102.66
Peter C. Herbert October 27, 2000 550 94.00
John P. Rustum October 27, 2000 100 94.00
Brahm S. Cramer November 1, 2000 1,489 96.19
John P. Rustum November 3, 2000 100 99.25
Peter C. Herbert November 8, 2000 1,489 92.12
John P. Rustum December 20, 2000 450 90.64
</TABLE>
The following purchases and sales of shares of Common Stock were made by the
following Covered Persons through Morgan Stanley Dean Witter & Co. for cash on
the New York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON PURCHASE OR SALE TRADE DATE NUMBER OF SHARES PRICE PER SHARE
------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Peter Savitz Purchase November 6, 2000 1,000 $97.13
Peter Savitz Sale November 7, 2000 1,000 95.69
Peter Savitz Purchase November 22, 2000 1,000 80.50
Peter Savitz Sale November 30, 2000 1,000 81.69
</TABLE>
The Covered Persons listed below participate in the Common Stock fund of The
Goldman Sachs Employees' Profit Sharing Retirement Income Plan. These Covered
Persons acquired or disposed of interests in the Common Stock fund representing
the number of shares of Common Stock set forth below.
<TABLE>
<CAPTION>
ACQUISITION OR
COVERED PERSON DISPOSITION TRANSACTION DATE NUMBER OF SHARES PRICE PER SHARE
--------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Kevin D. Naughton Acquisition October 31, 2000 231.58 $99.38
Allen Sangines-Krause Acquisition October 31, 2000 204.34 99.38
Kevin D. Naughton Acquisition November 24, 2000 0.05 81.50
Allen Sangines-Krause Disposition November 24, 2000 3.94 81.50
Thomas J. McAdam Acquisition November 30, 2000 1.75 82.00
</TABLE>
51
<PAGE> 52
RULE 144 PROGRAM
Commencing on September 25, 2000, the Covered Persons listed in Table I below
sold an aggregate of 7,897,714 Covered Shares under the Rule 144 Program
referred to in Item 4 above through November 10, 2000. Sales were made on or
through the New York Stock Exchange for cash by each listed Covered Person on
the days listed in Table II below (the "Trading Days") at the sales prices set
forth in Table II. By reason of the operation of the Rule 144 Program, all
listed Covered Persons were deemed to have received the same price for the
shares sold on a particular Trading Day. This table supplements and supersedes
the table set forth in Annex E to Amendment No. 10 to this Schedule 13D.
The following table sets forth the name of each Covered Person who participated
in the Rule 144 Program, the number of shares sold by such Covered Person on
each Trading Day* and the number of shares sold by such Covered Person in the
aggregate for all Trading Days:
Table I
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Bradley I. Abelow 446 15,628
Paul M. Achleitner 2,000 70,000
Jonathan R. Aisbitt 2,311 80,901
Andrew M. Alper 1,428 50,000
Armen A. Avanessians 714 25,000
David Baum 461 16,145
Ron E. Beller 974 34,081
Lloyd C. Blankfein 2,576 90,173
Peter L. Briger, Jr. 1,008 35,274
Richard J. Bronks 492 17,218
Lawrence R. Buchalter 780 27,318
Michael J. Carr 581 20,342
Christopher J. Carrera 487 17,048
Mary Ann Casati 343 12,000
Zachariah Cobrinik 798 27,922
Abby Joseph Cohen 286 10,000
Gary D. Cohn 1,280 44,792
Christopher A. Cole 1,363 47,713
Carlos A. Cordeiro 1,521 53,232
Henry Cornell 1,531 53,595
E. Gerald Corrigan 1,714 60,000
Jon S. Corzine 5,252 183,863
Claudio Costamagna 592 20,721
Frank L. Coulson, Jr. 1,933 67,653
Randolph L. Cowen 864 30,234
Philip M. Darivoff 386 13,522
Timothy D. Dattels 924 32,338
Gavyn Davies 2,754 96,392
David A. Dechman 484 16,943
Joseph Della Rosa 1,430 50,046
</TABLE>
--------
* For rounding purposes, the number of shares sold by a Covered Person on some
Trading Days may have been slightly higher or lower than the number listed to
avoid the sale of fractional shares.
52
<PAGE> 53
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Alexander C. Dibelius 295 10,331
John O. Downing 1,000 35,000
Connie K. Duckworth 1,260 44,111
Glenn P. Earle 900 31,505
Paul S. Efron 497 17,410
J. Michael Evans 1,233 43,148
W. Mark Evans 2,000 70,000
Pieter Maarten Feenstra 513 17,961
David B. Ford 1,949 68,217
Edward C. Forst 408 14,292
Christopher G. French 503 17,593
Richard A. Friedman 2,778 97,235
Joseph D. Gatto 857 30,000
Peter C. Gerhard 1,509 52,826
Nomi P. Ghez 1,170 40,947
Joseph H. Gleberman 1,824 63,858
Jacob D. Goldfield 1,612 56,427
Amy O. Goodfriend 526 18,410
Andrew M. Gordon 143 5,000
Geoffrey T. Grant 853 29,874
Eric P. Grubman 1,027 35,964
Joseph D. Gutman 777 27,214
Robert S. Harrison 1,009 35,332
Thomas J. Healey 1,527 53,466
Sylvain M. Hefes 2,034 71,210
David B. Heller 571 20,000
David L. Henle 429 15,000
Mary C. Henry 907 31,752
M. Roch Hillenbrand 429 15,000
Jacquelyn M. Hoffman-Zehner 710 24,858
Fern Hurst 286 10,000
Robert J. Hurst 1,143 40,000
Francis J. Ingrassia 1,101 38,549
Reuben Jeffery III 1,833 64,180
Stefan J. Jentzsch 279 9,759
Chansoo Joung 573 20,069
Ann F. Kaplan 1,705 59,669
Scott B. Kapnick 1,695 59,333
Robert J. Katz 1,286 45,000
Douglas W. Kimmelman 654 22,890
Bradford C. Koenig 1,008 35,301
Jonathan L. Kolatch 1,074 37,596
Peter S. Kraus 417 14,599
David G. Lambert 679 23,773
Thomas D. Lasersohn 492 17,224
</TABLE>
53
<PAGE> 54
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Lawrence H. Linden 1,664 58,248
Robert Litterman 1,007 35,267
Robert H. Litzenberger 305 10,671
Jonathan M. Lopatin 935 32,729
Michael R. Lynch 2,184 76,454
Peter G. C. Mallinson 1,681 58,849
Arthur S. Margulis, Jr. 298 10,436
Ronald G. Marks 826 28,907
Eff W. Martin 2,014 70,502
John P. McNulty 2,742 95,969
E. Scott Mead 1,358 47,532
Sanjeev K. Mehra 554 19,378
T. Willem Mesdag 1,315 46,026
Eric M. Mindich 1,715 60,021
Masanori Mochida 2,329 81,520
Karsten N. Moller 934 32,686
Thomas K. Montag 1,143 40,000
Robert B. Morris III 1,810 63,346
Michael P. Mortara 2,966 103,831
Sharmin Mossavar-Rahmani 1,932 67,631
Edward A. Mule 1,452 50,830
Thomas S. Murphy, Jr. 354 12,401
Philip D. Murphy 571 20,000
Avi M. Nash 314 11,000
Daniel M. Neidich 2,057 72,019
Kipp M. Nelson 961 33,652
Robin Neustein 1,247 43,644
Suzanne M. Nora Johnson 1,780 62,319
Michael E. Novogratz 437 15,304
Terence J. O'Neill 1,643 57,525
Timothy J. O'Neill 1,951 68,302
Donald C. Opatrny, Jr. 1,788 62,602
Robert J. O'Shea 1,556 54,483
Greg M. Ostroff 356 12,473
Terence M. O'Toole 2,214 77,486
Robert J. Pace 370 12,961
Gregory K. Palm 1,089 38,117
Scott M. Pinkus 1,582 55,395
Timothy C. Plaut 1,075 37,633
Wiet H. M. Pot 2,105 73,680
John J. Powers 2,105 73,679
Scott Prince 416 14,554
Stephen D. Quinn 1,740 60,892
Michael G. Rantz 959 33,571
Girish V. Reddy 466 16,321
</TABLE>
54
<PAGE> 55
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Arthur J. Reimers III 1,178 41,228
James P. Riley, Jr. 1,756 61,485
Simon M. Robertson 1,371 48,000
J. David Rogers 1,904 66,642
Emmanuel Roman 499 17,473
Ralph Rosenberg 373 13,073
Stuart M. Rothenberg 907 31,738
Michael S. Rubinoff 491 17,189
Richard M. Ruzika 472 16,528
Jeri Lynn Ryan 276 9,673
John C. Ryan 514 18,000
Michael D. Ryan 403 14,107
Richard A. Sapp 2,500 87,526
Joseph Sassoon 1,547 54,154
Muneer A. Satter 874 30,608
Jonathan S. Savitz 298 10,430
Peter Savitz 799 27,961
Howard B. Schiller 944 33,028
Antoine Schwartz 516 18,069
Eric S. Schwartz 1,704 59,637
Charles B. Seelig, Jr. 1,656 57,959
Steven M. Shafran 721 25,236
Richard S. Sharp 1,934 67,714
James M. Sheridan 810 28,344
Richard G. Sherlund 1,130 39,541
Michael S. Sherwood 1,612 56,415
Howard A. Silverstein 1,314 46,000
Dinakar Singh 484 16,934
Christian J. Siva-Jothy 497 17,390
Cody J Smith 1,107 38,756
Jonathan S. Sobel 483 16,896
Marc A. Spilker 882 30,865
Daniel W. Stanton 1,257 44,000
Esta E. Stecher 1,115 39,033
Cathrine S. Steck 372 13,010
Fredric E. Steck 286 10,000
Gene T. Sykes 714 25,000
Mark R. Tercek 801 28,029
Donald F. Textor 1,020 35,706
John R. Tormondsen 752 26,319
Leslie C. Tortora 1,878 65,742
John L. Townsend III 1,582 55,384
Byron D. Trott 1,083 37,898
Robert B. Tudor III 494 17,303
</TABLE>
55
<PAGE> 56
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Thomas E. Tuft 2,111 73,909
Malcolm B. Turnbull* 517 18,096
John E. Urban 491 17,172
Lee G. Vance 1,244 43,555
David A. Viniar 2,124 74,341
Barry S. Volpert 2,000 70,000
Thomas B. Walker III 2,290 80,153
George H. Walker IV 454 15,886
Patrick J. Ward 2,931 102,590
George W. Wellde, Jr. 1,425 49,880
Anthony G. Williams 1,684 58,958
Gary W. Williams 1,428 50,000
Kendrick R. Wilson III 1,281 44,825
Jon Winkelried 1,686 59,023
Steven J. Wisch 286 10,000
Richard E. Witten 2,015 70,528
Tracy R. Wolstencroft 857 30,000
Yasuyo Yamazaki 571 20,000
Danny O. Yee 1,055 36,923
Michael J. Zamkow 1,177 41,194
Yoel Zaoui 593 20,749
Gregory H. Zehner 733 25,672
Joseph R. Zimmel 2,237 78,314
Barry L. Zubrow 1,836 64,255
Mark A. Zurack 882 30,871
TRUSTS
Anahue Trust 300 10,500
The Guapulo Trust 1,071 37,501
Mark Dehnert Living Trust 100 3,499
PARTNERSHIPS
The Daniel G. Brennan Family Limited Partnership 153 5,365
Mijen Family Partnership 273 9,570
The Rizner Family Limited Partnership 229 8,025
CORPORATIONS
Majix Limited 935 32,739
Melalula Limited 1,850 64,775
</TABLE>
--------
* Includes shares held by a corporation wholly owned by the Covered Person.
56
<PAGE> 57
Table II
<TABLE>
<CAPTION>
TRADING DAY PRICE PER SHARE
-----------------------------------------
<S> <C>
September 25, 2000 $ 117.5957
September 26, 2000 112.4850
September 27, 2000 108.8514
September 28, 2000 111.5335
September 29, 2000 114.8677
October 2, 2000 114.8219
October 3, 2000 115.2372
October 4, 2000 109.8555
October 5, 2000 113.5343
October 6, 2000 108.3895
October 9, 2000 105.4208
October 10, 2000 101.7795
October 11, 2000 99.5013
October 12, 2000 96.8920
October 13, 2000 98.8632
October 16, 2000 102.4214
October 17, 2000 98.0026
October 18, 2000 96.5671
October 19, 2000 102.1251
October 20, 2000 104.1141
October 23, 2000 103.1436
October 24, 2000 103.1443
October 25, 2000 97.5391
October 26, 2000 93.5550
October 27, 2000 93.9929
October 30, 2000 95.8599
October 31, 2000 98.3052
November 1, 2000 96.1097
November 2, 2000 98.3170
November 3, 2000 100.5218
November 6, 2000 96.8841
November 7, 2000 95.1648
November 8, 2000 92.3112
November 9, 2000 91.2606
November 10, 2000 89.2737
</TABLE>
57
<PAGE> 58
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 22, 2000
By: /s/ Gregory K. Palm
--------------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
58
<PAGE> 59
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit Description
------- -----------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by
reference to Exhibit A to the Schedule 13D filed May 17, 1999
(File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of Bernice
Pauahi Bishop and Kamehameha Activities Association (incorporated
by reference to Exhibit B to the Initial Schedule 13D).
C. 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 C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other Covenants
(incorporated by reference to Exhibit 10.20 to the registration
statement on Form S-1 (File No. 333-74449) filed by The Goldman
Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the registration
statement on Form S-1 (File No. 333-74449) filed by The Goldman
Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as
Exhibit E), dated July 10, 2000 (incorporated by reference to
Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed
July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10, 1999
(incorporated by reference to Exhibit G to Amendment No. 1 to the
Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
H. Supplemental Registration Rights Instrument, dated as of December
10, 1999 (incorporated by reference to Exhibit H to Amendment No.
1 to the Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former profit
participating limited partners of The Goldman Sachs Group, L.P.
(incorporated by reference to Exhibit I to Amendment No. 2 to the
Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former retired
limited partners of The Goldman Sachs Group, L.P. who are
currently managing directors of The Goldman Sachs Group, Inc.
(incorporated by reference to Exhibit J to Amendment No. 2 to the
Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)).
K. Form of Counterpart to Shareholders' Agreement for non-individual
former owners of Hull and Associates, L.L.C. (incorporated by
reference to Exhibit K to Amendment No. 3 to the Initial Schedule
13D, filed June 30, 2000 (File No. 005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment No. 3
to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
</TABLE>
59
<PAGE> 60
<TABLE>
<S> <C>
N. Form of Guarantee and Pledge Agreement for non-U.S. corporations
(incorporated by reference to Exhibit N to Amendment No. 3 to the
Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)).
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations (incorporated by reference to Exhibit O to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version) (incorporated by reference to
Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed
June 30, 2000 (File No. 005-56295)).
Q. Form of Counterpart to Shareholders' Agreement for Transferee
Covered Persons (incorporated by reference to Exhibit Q to
Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000
(File No. 005-56295)).
R. Supplemental Registration Rights Instrument, dated as of June 19,
2000 (incorporated by reference to Exhibit R to Amendment No. 5
to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
S. Supplemental Registration Rights Instrument, dated as of July 31,
2000 (incorporated by reference to Exhibit S to Amendment No. 5
to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
T. Underwriting Agreement (U.S. Version), dated as of August 1, 2000
(incorporated by reference to Exhibit T to Amendment No. 5 to the
Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)).
U. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000
(File No. 005-56295)).
V. Underwriting Agreement (Asia/Pacific Version), dated as of August
1, 2000 (incorporated by reference to Exhibit V to Amendment No.
5 to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
W. Form of Power of Attorney to be executed by Covered Persons
participating in the Rule 144 Program (incorporated by reference
to Exhibit W to Amendment No. 8 to the Initial Schedule 13D,
filed September 25, 2000 (File No. 005-56295)).
X. Power of Attorney (incorporated by reference to Exhibit I to
Amendment No. 1 to the Initial Schedule 13D, filed December 17,
1999 (File No. 005-56295)).
Y. Form of Amended and Restated Member Agreement, dated as of
September 10, 2000, and amended and restated as of October 26,
2000, between GS Inc. and each SLK Covered Person (incorporated
by reference to Exhibit Y to Amendment No. 10 to the Initial
Schedule 13D, filed November 3, 2000 (File No. 005-56295)).
Z. Form of Pledge Agreement, dated as of October 31, 2000, between
GS Inc. and each SLK Covered Person (incorporated by reference to
Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed
November 3, 2000 (File No. 005-56295)).
</TABLE>
60
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