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Previous: GOLDMAN SACHS GROUP INC, SC 13G/A, 2000-11-03 |
Next: GOLDMAN SACHS GROUP INC, SC 13D/A, EX-99.Y, 2000-11-03 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 10
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)
October 31, 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
<TABLE>
<CAPTION>
CUSIP NO. 38141G 10 4 13D
<S> <C> <C> <C>
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.
NUMBER OF 7. SOLE VOTING POWER (See Item 6) As to
SHARES Covered Shares, 0 As to Uncovered
BENEFICIALLY Shares, as stated in Appendix A
OWNED BY
REPORTING 8. SHARED VOTING POWER (See Item 6)
PERSON (Applies to each person listed on
WITH Appendix A.)
278,447,000 Covered Shares held by
Covered Persons
6,476 Uncovered Shares held by
Covered Persons(3)
1,420,105 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 279,873,581(6)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x](6)
(Applies to each person listed on Appendix A.)
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 57.7%(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.
</TABLE>
------------------
(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 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 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
Elliot M. Alchek 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
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
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
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
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
Jonathan A. Beinner 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
Stuart N. Bernstein 0 0 0 0
Robert A. Berry 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
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
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
Patrick C. Boyle 0 0 0 0
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Charles C. Bradford III 0 0 0 0
Benjamin S. Bram 0 0 0 0
Thomas C. Brasco 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
Edward A. Brout 0 0 0 0
Charles K. Brown UK 0 0 0 0
James K. 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
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
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
Anthony H. Carpet 0 0 0 0
Michael J. Carr 0 0 0 0
Christopher J. Carrera 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
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
Robert J. Christie 0 0 0 0
Todd J. Christie 0 0 0 0
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Maura J. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
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
Laura C. Conigliaro 0 0 0 0
Liam Connell 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
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
Randolph L. Cowen 0 0 0 0
Neil D. Crowder 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
Stephen C. Daffron 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
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
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Paul M. DiNardo 0 0 0 0
Simon P. Dingemans UK 0 0 0 0
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
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
Brian J. Duffy 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
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
Glenn D. Engel 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
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
Steven M. Feldman 0 0 0 0
Laurie R. Ferber 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
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
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
Richard A. Friedman 0 0 0 0
Matthias K. Frisch Switzerland 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
Eduardo B. Gentil 0 0 0 0
Peter C. Gerhard 0 0 0 0
Nomi P. Ghez Israel/USA 0 0 0 0
Scott A. Gieselman 0 0 0 0
H. John Gilbertson, Jr. 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
Anthony J. Gordon 0 0 0 0
Robert D. Gottlieb 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
Thomas J. Gravina 200 0 200 0
David J. Greenwald 0 0 0 0
Louis S. Greig UK 0 0 0 0
Peter W. Grieve 0 0 0 0
Christopher Grigg UK 0 0 0 0
Douglas C. Grip 0 0 0 0
Eric P. Grubman 0 0 0 0
Celeste A. Guth 0 0 0 0
</TABLE>
------------------
(7) Shared with family members.
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Edward S. Gutman 0 0 0 0
Joseph D. Gutman 0 0 0 0
Erol Hakanoglu Turkey 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
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
David B. Heller 0 0 0 0
Steven M. Heller 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
Raimund W. Herden Germany 0 0 0 0
Carl H. Hewitt 0 1000(8) 0 1000(8)
Bruce A. Heyman 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
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
Gregory T. Hoogkamp 0 0 0 0
Thomas J. Hopkins 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
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
</TABLE>
------------------
(8) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Fern Hurst 0 0 0 0
Robert J. Hurst 0 0 0 0
Toni Infante 0 0 0 0
Francis J. Ingrassia 0 0 0 0
Timothy J. Ingrassia 0 0 0 0
Masahiro Iwano Japan 0 0 0 0
Raymond J. Iwanowski 0 0 0 0
William L. Jacob III 0 0 0 0
Mark M. Jacobs 0 0 0 0
Richard I. Jaffee 0 0 0 0
Reuben Jeffery III 0 0 0 0
Stefan J. Jentzsch Germany 0 0 0 0
Dan H. Jester 0 0 0 0
Daniel J. Jick 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
Chansoo Joung 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
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
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
Kevin W. Kennedy 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
Lincoln Kinnicutt 0 0 0 0
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
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
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)
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
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
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Paulo C. Leme 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Stephen M. Levick 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 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
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
Syaru Shirley Lin 0 0 0 0
</TABLE>
------------------
(9) Shared with family members.
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 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
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
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
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
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
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
Kathy M. Matsui 0 0 0 0
Tadanori Matsumura Japan 0 0 0 0
Heinz Thomas Mayer Germany 0 0 0 0
Thomas J. McAdam 0 0 0 0
Richard F. McArdle 0 0 0 0
Theresa E. McCabe 0 0 0 0
Joseph M. McConnell 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
John C. McIntire 0 0 0 0
John W. McMahon 0 0 0 0
Geraldine F. McManus 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
</TABLE>
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
John P. McNulty 0 0 0 0
E. Scott Mead 0 0 0 0
David M. Meerschwam The Netherlands 0 0 0 0
Sanjeev K. Mehra India 0 0 0 0
Michael C. Melignano 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
Edward S. Misrahi Italy 0 0 0 0
Steven T. Mnuchin 0 0 0 0
Kurt C. Mobley 0 0 0 0
Masanori Mochida Japan 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
Robert B. Morris III 0 0 0 0
Michael P. Mortara 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
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
Warwick M. Negus Australia 0 0 0 0
Daniel M. Neidich 22 0 22 0
</TABLE>
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Kipp M. Nelson 0 0 0 0
Robin Neustein 0 0 0 0
Duncan L. Niederauer 0 0 0 0
Susan M. Noble UK 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
David Ogens 0 0 0 0
Jinsuk T. Oh South Korea 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
Donald C. Opatrny, Jr. 0 0 0 0
Daniel B. O'Rourke 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
Terence M. O'Toole 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
Mukesh K. Parekh 0 0 0 0
Geoffrey M. Parker 0 0 0 0
Melissa B. Patrusky 0 0 0 0
Henry M. Paulson, Jr. 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
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
Michael A. Price 0 0 0 0
Scott Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 0 0 0
</TABLE>
14
<PAGE> 15
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 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
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
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John S. Rizner 0 0 0 0
Simon M. Robertson UK 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
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
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 0 0 0 0
Richard A. Sapp 0 0 0 0
Joseph Sassoon Israel 0 0 0 0
Tsutomu Sato Japan 240 0 240 0
Muneer A. Satter 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
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Mitchell I. Scherzer Canada 0 0 0 0
Peter Schiefer Germany 0 0 0 0
Howard B. Schiller 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
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
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
James M. Sheridan 0 0 0 0
Richard G. Sherlund 0 0 0 0
Michael S. Sherwood UK 0 0 0 0
Michael H. Siegel 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
Dinakar Singh 0 0 0 0
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
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
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
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
Andrew J. Stuart Australia 0 0 0 0
Todd A. Stuart 0 0 0 0
Patrick Sullivan 0 0 0 0
Hsueh J. Sung Taiwan 0 0 0 0
George M. Suspanic Spain 0 0 0 0
Peter D. Sutherland S.C. Ireland 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
John H. Taylor 0 0 0 0
Robert E. Taylor 0 0 0 0
Greg W. Tebbe 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
Rory T. Tobin Ireland 0 0 0 0
Daisuke Toki Japan 0 0 0 0
Gary S. Tolchin 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
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
Thomas B. Tyree, Jr. 0 0 0 0
Harkanwar Uberoi India 0 0 0 0
Kaysie P. Uniacke 0 0 0 0
</TABLE>
17
<PAGE> 18
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
John E. Urban 0 0 0 0
Hugo H. Van Vredenburch The Netherlands 0 0 0 0
Lee G. Vance 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
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
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
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
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 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
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
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New Zealand 0 0 0 0
Kendrick R. Wilson III 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
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
</TABLE>
------------------
(10) Shared with family members.
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
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
Paul M. Young 0 0 0 0
Richard M. Young 0 0 0 0
Bryant M. Yunker, Jr. 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 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 1,420,105 0 1,420,105
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.
19
<PAGE> 20
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
PLACE OF ITEM 7 SHARED SOLE ITEM 10
ORGANIZATION SOLE VOTING VOTING DISPOSITIVE SHARED
(NEW YORK POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED 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>
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9
PLACE OF ITEM 7 SHARED SOLE ITEM 10
ORGANIZATION SOLE VOTING VOTING DISPOSITIVE SHARED
(NEW YORK POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED 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>
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9
PLACE OF ITEM 7 SHARED SOLE ITEM 10
ORGANIZATION SOLE VOTING VOTING DISPOSITIVE SHARED
(NEW YORK POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED 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
Eff Warren Martin 2000 Childrens Trust California 0 0 0 0
</TABLE>
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9
PLACE OF ITEM 7 SHARED SOLE ITEM 10
ORGANIZATION SOLE VOTING VOTING DISPOSITIVE SHARED
(NEW YORK POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
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
The Goldenberg 2000 Annuity Trust I 0 0 0 0
The Goldenberg 2000 Family Trust 0 0 0 0
</TABLE>
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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 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
The John P. Curtin, Jr.
2000 Annuity Trust I 0 0 0 0
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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
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
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
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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 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 Matthew Peter Mortara
2000 Trust 0 0 0 0
The Maya Bettina Linden
2000 Trust 0 0 0 0
The Merritt Moore
Townsend 2000 Trust 0 0 0 0
The Mesdag Family Trust Delaware 0 0 0 0
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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 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 P. Mortara
2000 Annuity Trust I 0 0 0 0
The Michael Paul Mortara
2000 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
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>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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/a James Kellogg III New 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 2000
Grantor Retained
Annuity Trust 0 0 0 0
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 7 ITEM 8 ITEM 9 ITEM 10
ORGANIZATION SOLE SHARED SOLE SHARED
(NEW YORK VOTING VOTING DISPOSITIVE DISPOSITIVE
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 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>
30
<PAGE> 31
This Amendment No. 10 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. 10 is being filed because on October 31, 2000,
60 additional persons became Covered Persons (as defined below) under the
Shareholders' Agreement (as defined below) upon the consummation of the
acquisition by The Goldman Sachs Group, Inc. of SLK LLC (together with its
subsidiaries and affiliates, "SLK").
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 in exchange for their interests in Group L.P. and certain
of its affiliates and investee corporations; (ii) the former
31
<PAGE> 32
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 (the "SLK Covered Persons") acquired the Covered
Shares in exchange for their interests in 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 PMDs 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 PMDs 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"). Sales under the Rule 144
Program commenced on September 25, 2000. During GS Inc.'s fiscal quarter ending
November 24, 2000, 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 up to
7,897,714 shares for all Covered Persons, of which 6,091,632 shares had been
sold as of October 31, 2000 as described in Annex E). 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.
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).
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
32
<PAGE> 33
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.
33
<PAGE> 34
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 have waived the Partner Transfer Restrictions to
permit the sale of up to an aggregate of 7,897,714 Covered Shares by certain
Covered Persons during GS Inc.'s fiscal quarter ending November 24, 2000 under
the Rule 144 Program described in Item 4 above and in Annex C hereto (of which
6,091,632 Covered Shares had been sold as of October 31, 2000).
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.
34
<PAGE> 35
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
35
<PAGE> 36
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 to certain
charitable organizations discussed in footnote 4 on the cover page to this
Schedule, 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.
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.
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
36
<PAGE> 37
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.
37
<PAGE> 38
Item 7. Material to be Filed as Exhibits
Exhibit Description
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)).
38
<PAGE> 39
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.
Z. Form of Pledge Agreement, dated as of October 31, 2000, between
GS Inc. and each SLK Covered Person.
39
<PAGE> 40
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
COVERED PERSONS
<TABLE>
<CAPTION>
CONVICTIONS
OR
VIOLATIONS BENEFICIAL
OF FEDERAL OWNERSHIP OF
OR STATE THE COMMON
LAWS WITHIN STOCK OF THE
BUSINESS PRESENT THE LAST GOLDMAN SACHS
NAME CITIZENSHIP ADDRESS EMPLOYMENT FIVE YEARS GROUP, INC.
---------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Steven M. USA 85 Broad Managing None Covered
Bunson Street Director, Person, so
New York, NY The Goldman ownership is
10004 Sachs Group, as set forth
Inc. in or
incorporated
into Item 5
above.
Russell E. USA 85 Broad Managing None Covered
Makowsky Street Director, Person, so
New York, NY The Goldman ownership is
10004 Sachs Group, as set forth
Inc. in or
incorporated
into Item 5
above.
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Bedell
Jersey, Cristin
JE4 3RA
John D. UK Victoria Hall Vice President/ None None
Amaral 11 Victoria St. Account Manager,
Hamilton HM11 J&H Marsh &
Bermuda McLennan
Marguerite USA 120 Broadway Vice President, None None
R. 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>
40
<PAGE> 41
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
41
<PAGE> 42
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS
During GS Inc.'s fiscal quarter ending November 24, 2000, 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. See Annex E for information on the number of shares
of Common Stock sold through October 31, 2000 under the Rule 144 Program (the
difference between the number set forth in the following table and the number
set forth in Annex E being the number of shares each listed Covered Person
intends to sell under the Rule 144 Program during the remainder of the fiscal
quarter).
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
<S> <C>
Bradley I. Abelow 15,628
Paul M. Achleitner 70,000
Jonathan R. Aisbitt 80,901
Andrew M. Alper 50,000
Armen A. Avanessians 25,000
David Baum 16,145
Ron E. Beller 34,081
Lloyd C. Blankfein 90,173
Peter L. Briger, Jr. 35,274
Richard J. Bronks 17,218
Lawrence R. Buchalter 27,318
Michael J. Carr 20,342
Christopher J. Carrera 17,048
Mary Ann Casati 12,000
Zachariah Cobrinik 27,922
Abby Joseph Cohen 10,000
Gary D. Cohn 44,792
Christopher A. Cole 47,713
Carlos A. Cordeiro 53,232
Henry Cornell 53,595
E. Gerald Corrigan 60,000
Jon S. Corzine 183,863
Claudio Costamagna 20,721
Frank L. Coulson, Jr. 67,653
Randolph L. Cowen 30,234
Philip M. Darivoff 13,522
Timothy D. Dattels 32,338
Gavyn Davies 96,392
David A. Dechman 16,943
Joseph Della Rosa 50,046
Alexander C. Dibelius 10,331
John O. Downing 35,000
Connie K. Duckworth 44,111
Glenn P. Earle 31,505
Paul S. Efron 17,410
J. Michael Evans 43,148
</TABLE>
42
<PAGE> 43
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
<S> <C>
W. Mark Evans 70,000
Pieter Maarten Feenstra 17,961
David B. Ford 68,217
Edward C. Forst 14,292
Christopher G. French 17,593
Richard A. Friedman 97,235
Joseph D. Gatto 30,000
Peter C. Gerhard 52,826
Nomi P. Ghez 40,947
Joseph H. Gleberman 63,858
Jacob D. Goldfield 56,427
Amy O. Goodfriend 18,410
Andrew M. Gordon 5,000
Geoffrey T. Grant 29,874
Eric P. Grubman 35,964
Joseph D. Gutman 27,214
Robert S. Harrison 35,332
Thomas J. Healey 53,466
Sylvain M. Hefes 71,210
David B. Heller 20,000
David L. Henle 15,000
Mary C. Henry 31,752
M. Roch Hillenbrand 15,000
Jacquelyn M. Hoffman-Zehner 24,858
Fern Hurst 10,000
Robert J. Hurst 40,000
Francis J. Ingrassia 38,549
Reuben Jeffery III 64,180
Stefan J. Jentzsch 9,759
Chansoo Joung 20,069
Ann F. Kaplan 59,669
Scott B. Kapnick 59,333
Robert J. Katz 45,000
Douglas W. Kimmelman 22,890
Bradford C. Koenig 35,301
Jonathan L. Kolatch 37,596
Peter S. Kraus 14,599
David G. Lambert 23,773
Thomas D. Lasersohn 17,224
Lawrence H. Linden 58,248
Robert Litterman 35,267
Robert H. Litzenberger 10,671
Jonathan M. Lopatin 32,729
Michael R. Lynch 76,454
Peter G. C. Mallinson 58,849
</TABLE>
43
<PAGE> 44
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
<S> <C>
Arthur S. Margulis, Jr. 10,436
Ronald G. Marks 28,907
Eff W. Martin 70,502
John P. McNulty 95,969
E. Scott Mead 47,532
Sanjeev K. Mehra 19,378
T. Willem Mesdag 46,026
Eric M. Mindich 60,021
Masanori Mochida 81,520
Karsten N. Moller 32,686
Thomas K. Montag 40,000
Robert B. Morris III 63,346
Michael P. Mortara 103,831
Sharmin Mossavar-Rahmani 67,631
Edward A. Mule 50,830
Thomas S. Murphy, Jr. 12,401
Philip D. Murphy 20,000
Avi M. Nash 11,000
Daniel M. Neidich 72,019
Kipp M. Nelson 33,652
Robin Neustein 43,644
Suzanne M. Nora Johnson 62,319
Michael E. Novogratz 15,304
Terence J. O'Neill 57,525
Timothy J. O'Neill 68,302
Donald C. Opatrny, Jr. 62,602
Robert J. O'Shea 54,483
Greg M. Ostroff 12,473
Terence M. O'Toole 77,486
Robert J. Pace 12,961
Gregory K. Palm 38,117
Scott M. Pinkus 55,395
Timothy C. Plaut 37,633
Wiet H. M. Pot 73,680
John J. Powers 73,679
Scott Prince 14,554
Stephen D. Quinn 60,892
Michael G. Rantz 33,571
Girish V. Reddy 16,321
Arthur J. Reimers III 41,228
James P. Riley, Jr. 61,485
Simon M. Robertson 48,000
J. David Rogers 66,642
Emmanuel Roman 17,473
Ralph Rosenberg 13,073
</TABLE>
44
<PAGE> 45
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
<S> <C>
Stuart M. Rothenberg 31,738
Michael S. Rubinoff 17,189
Richard M. Ruzika 16,528
Jeri Lynn Ryan 9,673
John C. Ryan 18,000
Michael D. Ryan 14,107
Richard A. Sapp 87,526
Joseph Sassoon 54,154
Muneer A. Satter 30,608
Jonathan S. Savitz 10,430
Peter Savitz 27,961
Howard B. Schiller 33,028
Antoine Schwartz 18,069
Eric S. Schwartz 59,637
Charles B. Seelig, Jr. 57,959
Steven M. Shafran 25,236
Richard S. Sharp 67,714
James M. Sheridan 28,344
Richard G. Sherlund 39,541
Michael S. Sherwood 56,415
Howard A. Silverstein 46,000
Dinakar Singh 16,934
Christian J. Siva-Jothy 17,390
Cody J Smith 38,756
Jonathan S. Sobel 16,896
Marc A. Spilker 30,865
Daniel W. Stanton 44,000
Esta E. Stecher 39,033
Cathrine S. Steck 13,010
Fredric E. Steck 10,000
Gene T. Sykes 25,000
Mark R. Tercek 28,029
Donald F. Textor 35,706
John R. Tormondsen 26,319
Leslie C. Tortora 65,742
John L. Townsend III 55,384
Byron D. Trott 37,898
Robert B. Tudor III 17,303
Thomas E. Tuft 73,909
Malcolm B. Turnbull* 18,096
John E. Urban 17,172
Lee G. Vance 43,555
David A. Viniar 74,341
Barry S. Volpert 70,000
</TABLE>
----------
* Includes shares held by a corporation wholly owned by the Covered Person.
45
<PAGE> 46
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
<S> <C>
Thomas B. Walker III 80,153
George H. Walker IV 15,886
Patrick J. Ward 102,590
George W. Wellde, Jr. 49,880
Anthony G. Williams 58,958
Gary W. Williams 50,000
Kendrick R. Wilson III 44,825
Jon Winkelried 59,023
Steven J. Wisch 10,000
Richard E. Witten 70,528
Tracy R. Wolstencroft 30,000
Yasuyo Yamazaki 20,000
Danny O. Yee 36,923
Michael J. Zamkow 41,194
Yoel Zaoui 20,749
Gregory H. Zehner 25,672
Joseph R. Zimmel 78,314
Barry L. Zubrow 64,255
Mark A. Zurack 30,871
TRUSTS
Anahue Trust 10,500
The Guapulo Trust 37,501
Mark Dehnert Living Trust 3,499
PARTNERSHIPS
The Daniel G. Brennan Family
Limited Partnership 5,365
Mijen Family Partnership 9,570
The Rizner Family Limited
Partnership 8,025
CORPORATIONS
Majix Limited 32,739
Melalula Limited 64,775
</TABLE>
46
<PAGE> 47
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.
47
<PAGE> 48
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
Commencing on September 25, 2000, the Covered Persons listed in Table I below
sold an aggregate of 6,091,632 Covered Shares under the Rule 144 Program
referred to in Item 4 above through October 31, 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.
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 TOTAL SHARES
EACH TRADING SOLD ON ALL
COVERED PERSON DAY TRADING DAYS
---------------------------------------------------------------------
<S> <C> <C>
Bradley I. Abelow 446 12,042
Paul M. Achleitner 2,000 53,999
Jonathan R. Aisbitt 2,311 62,397
Andrew M. Alper 1,428 38,556
Armen A. Avanessians 714 19,278
David Baum 461 12,447
Ron E. Beller 974 26,298
Lloyd C. Blankfein 2,576 69,551
Peter L. Briger, Jr. 1,008 27,216
Richard J. Bronks 492 13,284
Lawrence R. Buchalter 780 21,060
Michael J. Carr 581 15,687
Christopher J. Carrera 487 13,149
Mary Ann Casati 343 9,261
Zachariah Cobrinik 798 21,546
Abby Joseph Cohen 286 7,722
Gary D. Cohn 1,280 34,560
Christopher A. Cole 1,363 36,801
Carlos A. Cordeiro 1,521 41,066
Henry Cornell 1,531 41,337
E. Gerald Corrigan 1,714 46,278
Jon S. Corzine 5,252 141,804
Claudio Costamagna 592 15,984
Frank L. Coulson, Jr. 1,933 52,190
Randolph L. Cowen 864 23,328
</TABLE>
----------
* The number of shares sold by a Covered Person on some Trading Days may
have been one share lower than the number listed.
48
<PAGE> 49
SHARES SOLD TOTAL SHARES
EACH TRADING SOLD ON ALL
COVERED PERSON DAY TRADING DAYS
---------------------------------------------------------------------
Philip M. Darivoff 386 10,422
Timothy D. Dattels 924 24,948
Gavyn Davies 2,754 74,357
David A. Dechman 484 13,068
Joseph Della Rosa 1,430 38,610
Alexander C. Dibelius 295 7,965
John O. Downing 1,000 27,000
Connie K. Duckworth 1,260 34,020
Glenn P. Earle 900 24,300
Paul S. Efron 497 13,419
J. Michael Evans 1,233 33,291
W. Mark Evans 2,000 53,999
Pieter Maarten Feenstra 513 13,851
David B. Ford 1,949 52,622
Edward C. Forst 408 11,016
Christopher G. French 503 13,581
Richard A. Friedman 2,778 75,005
Joseph D. Gatto 857 23,139
Peter C. Gerhard 1,509 40,743
Nomi P. Ghez 1,170 31,590
Joseph H. Gleberman 1,824 49,248
Jacob D. Goldfield 1,612 43,523
Amy O. Goodfriend 526 14,202
Andrew M. Gordon 143 3,861
Geoffrey T. Grant 853 23,031
Eric P. Grubman 1,027 27,729
Joseph D. Gutman 777 20,979
Robert S. Harrison 1,009 27,243
Thomas J. Healey 1,527 41,229
Sylvain M. Hefes 2,034 54,918
David B. Heller 571 15,417
David L. Henle 429 11,583
Mary C. Henry 907 24,489
M. Roch Hillenbrand 429 11,583
Jacquelyn M. Hoffman-Zehner 710 19,170
Fern Hurst 286 7,722
Robert J. Hurst 1,143 30,861
Francis J. Ingrassia 1,101 29,727
Reuben Jeffery III 1,833 49,491
Stefan J. Jentzsch 279 7,533
Chansoo Joung 573 15,471
Ann F. Kaplan 1,705 46,034
Scott B. Kapnick 1,695 45,764
Robert J. Katz 1,286 34,722
Douglas W. Kimmelman 654 17,658
49
<PAGE> 50
SHARES SOLD TOTAL SHARES
EACH TRADING SOLD ON ALL
COVERED PERSON DAY TRADING DAYS
---------------------------------------------------------------------
Bradford C. Koenig 1,008 27,216
Jonathan L. Kolatch 1,074 28,998
Peter S. Kraus 417 11,259
David G. Lambert 679 18,333
Thomas D. Lasersohn 492 13,284
Lawrence H. Linden 1,664 44,927
Robert Litterman 1,007 27,189
Robert H. Litzenberger 305 8,235
Jonathan M. Lopatin 935 25,245
Michael R. Lynch 2,184 58,968
Peter G. C. Mallinson 1,681 45,387
Arthur S. Margulis, Jr. 298 8,046
Ronald G. Marks 826 22,302
Eff W. Martin 2,014 54,378
John P. McNulty 2,742 74,033
E. Scott Mead 1,358 36,666
Sanjeev K. Mehra 554 14,958
T. Willem Mesdag 1,315 35,505
Eric M. Mindich 1,715 46,304
Masanori Mochida 2,329 62,882
Karsten N. Moller 934 25,218
Thomas K. Montag 1,143 30,861
Robert B. Morris III 1,810 48,869
Michael P. Mortara 2,966 80,082
Sharmin Mossavar-Rahmani 1,932 52,164
Edward A. Mule 1,452 39,204
Thomas S. Murphy, Jr. 354 9,558
Philip D. Murphy 571 15,417
Avi M. Nash 314 8,478
Daniel M. Neidich 2,057 55,539
Kipp M. Nelson 961 25,947
Robin Neustein 1,247 33,669
Suzanne M. Nora Johnson 1,780 48,060
Michael E. Novogratz 437 11,799
Terence J. O'Neill 1,643 44,361
Timothy J. O'Neill 1,951 52,677
Donald C. Opatrny, Jr. 1,788 48,276
Robert J. O'Shea 1,556 42,012
Greg M. Ostroff 356 9,612
Terence M. O'Toole 2,214 59,777
Robert J. Pace 370 9,990
Gregory K. Palm 1,089 29,403
Scott M. Pinkus 1,582 42,714
Timothy C. Plaut 1,075 29,025
Wiet H. M. Pot 2,105 56,834
50
<PAGE> 51
SHARES SOLD TOTAL SHARES
EACH TRADING SOLD ON ALL
COVERED PERSON DAY TRADING DAYS
---------------------------------------------------------------------
John J. Powers 2,105 56,834
Scott Prince 416 11,232
Stephen D. Quinn 1,740 46,979
Michael G. Rantz 959 25,893
Girish V. Reddy 466 12,582
Arthur J. Reimers III 1,178 31,806
James P. Riley, Jr. 1,756 47,412
Simon M. Robertson 1,371 37,017
J. David Rogers 1,904 51,407
Emmanuel Roman 499 13,473
Ralph Rosenberg 373 10,071
Stuart M. Rothenberg 907 24,489
Michael S. Rubinoff 491 13,257
Richard M. Ruzika 472 12,744
Jeri Lynn Ryan 276 7,452
John C. Ryan 514 13,878
Michael D. Ryan 403 10,881
Richard A. Sapp 2,500 67,500
Joseph Sassoon 1,547 41,769
Muneer A. Satter 874 23,598
Jonathan S. Savitz 298 8,046
Peter Savitz 799 21,573
Howard B. Schiller 944 25,488
Antoine Schwartz 516 13,932
Eric S. Schwartz 1,704 46,007
Charles B. Seelig, Jr. 1,656 44,711
Steven M. Shafran 721 19,467
Richard S. Sharp 1,934 52,218
James M. Sheridan 810 21,870
Richard G. Sherlund 1,130 30,510
Michael S. Sherwood 1,612 43,523
Howard A. Silverstein 1,314 35,478
Dinakar Singh 484 13,068
Christian J. Siva-Jothy 497 13,419
Cody J Smith 1,107 29,889
Jonathan S. Sobel 483 13,041
Marc A. Spilker 882 23,814
Daniel W. Stanton 1,257 33,939
Esta E. Stecher 1,115 30,105
Cathrine S. Steck 372 10,044
Fredric E. Steck 286 7,722
Gene T. Sykes 714 19,278
Mark R. Tercek 801 21,627
Donald F. Textor 1,020 27,540
John R. Tormondsen 752 20,304
51
<PAGE> 52
SHARES SOLD TOTAL SHARES
EACH TRADING SOLD ON ALL
COVERED PERSON DAY TRADING DAYS
---------------------------------------------------------------------
Leslie C. Tortora 1,878 50,706
John L. Townsend III 1,582 42,714
Byron D. Trott 1,083 29,241
Robert B. Tudor III 494 13,338
Thomas E. Tuft 2,111 56,997
Malcolm B. Turnbull* 517 13,959
John E. Urban 491 13,257
Lee G. Vance 1,244 33,588
David A. Viniar 2,124 57,347
Barry S. Volpert 2,000 54,000
Thomas B. Walker III 2,290 61,829
George H. Walker IV 454 12,258
Patrick J. Ward 2,931 79,137
George W. Wellde, Jr. 1,425 38,475
Anthony G. Williams 1,684 45,468
Gary W. Williams 1,428 38,556
Kendrick R. Wilson III 1,281 34,587
Jon Winkelried 1,686 45,522
Steven J. Wisch 286 7,722
Richard E. Witten 2,015 54,404
Tracy R. Wolstencroft 857 23,139
Yasuyo Yamazaki 571 15,417
Danny O. Yee 1,055 28,485
Michael J. Zamkow 1,177 31,779
Yoel Zaoui 593 16,011
Gregory H. Zehner 733 19,791
Joseph R. Zimmel 2,237 60,399
Barry L. Zubrow 1,836 49,572
Mark A. Zurack 882 23,814
TRUSTS
Anahue Trust 300 8,100
The Guapulo Trust 1,071 28,917
Mark Dehnert Living Trust 100 2,700
PARTNERSHIPS
The Daniel G. Brennan Family
Limited Partnership 153 4,131
Mijen Family Partnership 273 7,371
The Rizner Family Limited
Partnership 229 6,183
CORPORATIONS
Majix Limited 935 25,245
Melalula Limited 1,850 49,950
----------
* Includes shares held by a corporation wholly owned by the Covered Person.
52
<PAGE> 53
Table II
TRADING DAY PRICE PER SHARE
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
53
<PAGE> 54
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: November 2, 2000
By: /s/ Gregory K. Palm
------------------------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
54
<PAGE> 55
EXHIBIT INDEX
Exhibit Description
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)).
55
<PAGE> 56
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.
Z. Form of Pledge Agreement, dated as of October 31, 2000, between
GS Inc. and each SLK Covered Person.
56
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