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Previous: ALLMERICA FIN LIFE INS & ANN CO ALLMERICA SEL ACCT, 485BPOS, EX-10, 2000-06-21 |
Next: GOLDMAN SACHS GROUP INC, SC 13D/A, EX-99.I, 2000-06-21 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
_____________________________________________________
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 2
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)
Robert J. Katz
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)
June 16, 2000
____________________
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
<PAGE> 2
---------------------
CUSIP NO. 38141G 10 4 13D
---------------------
------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A.
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Persons(1) (a) [x]
As to a group consisting of persons other than Covered
Persons (b) [x]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered
Shares(2)
(Applies to each person listed on Appendix A.)
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ]
PURSUANT TO ITEM 2(d) OR 2(e) (Applies to each person listed
on Appendix A.)
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise
indicated on Appendix A.
------------------------------------------------------------------------------
7. SOLE VOTING POWER (See Item 6)
NUMBER OF As to Covered Shares, 0
SHARES As to Uncovered Shares, as stated in
BENEFICIALLY Appendix A
OWNED BY
REPORTING
PERSON
WITH
----------------------------------------------
8. SHARED VOTING POWER (See Item 6)
(Applies to each person listed on Appendix
A.)
275,362,588 Covered Shares held by Covered
Persons
141,522 Uncovered Shares held by Covered
Persons(3)
1,587,808 Other Uncovered Shares held by
Covered Persons(4)
21,975,421 shares held by KAA(5)
21,425,052 shares held by SBCM(5)/(6)
----------------------------------------------
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 277,091,918(7)
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [X](7)
CERTAIN SHARES (Applies to each person listed on Appendix A.)
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 62.6%(7)
------------------------------------------------------------------------------
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"; IN as
to all other persons listed in Appendix A.
_______________
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 3.
(3) These are Uncovered Shares also described in Row 7 which each Covered
Person is deemed to beneficially own by application of Rule 13d-5(b)(1),
but do not include the Uncovered Shares described in note 4. Each Covered
Person disclaims beneficial ownership of Uncovered Shares held by each
other Covered Person.
(4) These are Uncovered Shares held by 92 private charitable foundations
established by 92 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) The 21,425,052 shares held by SBCM exclude 7,440,362 shares of Nonvoting
Common Stock held by SBCM which, although immediately convertible into
Common Stock, cannot currently be converted by SBCM due to restrictions
imposed under the Bank Holding Company Act of 1956, as amended. Please see
the separate Schedule 13D filed by SBCM and any amendments thereto for
information relating to such shares. Each Covered Person disclaims
beneficial ownership as to the Nonvoting Common Stock held by SBCM.
(7) Excludes 21,425,052 and 21,975,421 shares of Common Stock held by SBCM and
KAA, respectively, as to which each Covered Person disclaims beneficial
ownership. See also note 6. Each Covered Person disclaims beneficial
ownership as to the Nonvoting Common Stock held by SBCM.
3
<PAGE> 4
APPENDIX A
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 0 0 0 0
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
Lay Pheng Ang Singapore 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 0 0 0 0
Netherlands
Mark E. Bamford 0 0 0 0
John S. Barakat 0 0 0 0
Barbara J. Basser-Bigio 0 0 0 0
Carl-Georg Germany 0 0 0 0
Bauer-Schlichtegroll
David M. 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 0 0 0 0
Arabia
Jaime I. Bergel Spain 0 0 0 0
Milton R. Berlinski The 0 0 0 0
Netherlands
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
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
David R. Boles 0 0 0 0
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
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
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
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
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
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
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
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Abby Joseph Cohen 0 0 0 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
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
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
Gavyn Davies UK 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 0 0 0 0
Joseph Della Rosa 0 0 0 0
Emanuel Derman 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
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
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
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
Edward K. Eisler Austria 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
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 0 0 0 0
Netherlands
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
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
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
</TABLE>
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 8 ITEM 9 ITEM 10
(United ITEM 7 Shared Sole Shared
States Sole Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Jeffrey B. Goldenberg 0 2,860(8) 0 2,860(8)
Jacob D. Goldfield 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
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
Joseph D. Gutman 0 0 0 0
Peter T. 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
</TABLE>
--------------------
(8) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 6
Citizenship ITEM 7 ITEM 8 ITEM 9 ITEM 10
(United Sole Shared Sole Shared
States Voting Voting Dispositive Dispositive
ITEM 1 unless Power of Power of Power of Power of
Names of Reporting otherwise Uncovered Uncovered Uncovered Uncovered
Persons indicated) Shares Shares Shares Shares
------- ---------- ------ ------ ------ ------
<S> <C> <C> <C> <C> <C>
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
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. Canada 0 0 0 0
Hoffman-Zehner
Christopher G. Hogg New 0 0 0 0
Zealand/USA
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
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
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
Robert C. Jones 0 0 0 0
Chansoo Joung 0 0 0 0
Andrew J. Kaiser 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
John L. Kelly 0 0 0 0
Kevin W. Kennedy 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 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
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
</TABLE>
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
Pierre F. Lapeyre, Jr. 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
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
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Robert Litterman 0 0 0 0
</TABLE>
--------
9 Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
Jun Makihara Japan 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
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
</TABLE>
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
Amos Meron 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
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
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 135,428 0 135,428 0
Karsten N. Moller Denmark 0 0 0 0
Thomas K. Montag 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
</TABLE>
14
<PAGE> 15
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
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 0 0 0 0
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 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
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
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 S. Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 1,000(10) 0 1,000(10)
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 Rizner 0 0 0 0
Simon M. Robertson UK 0 0 0 0
</TABLE>
---------
10 Shared with family members.
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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
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
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
Paul S. Schapira Italy 0 0 0 0
P. Sheridan Schechner 1,000 0 1,000 0
Gary B. Schermerhorn 0 0 0 0
Mitchell I. Scherzer Canada 0 0 0 0
Howard B. Schiller 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
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
</TABLE>
17
<PAGE> 18
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
Richard S. Sharp UK 0 0 0 0
John P. Shaughnessy 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
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
Esta E. Stecher 0 0 0 0
Fredric E. Steck 0 0 0 0
Robert K. Steel 0 0 0 0
Robert S. Stellato 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
</TABLE>
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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 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 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
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
Massimo Tononi Italy 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
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
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
John J. Vaske 0 0 0 0
</TABLE>
19
<PAGE> 20
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED SOLE ITEM 10
CITIZENSHIP SOLE VOTING VOTING DISPOSITIVE SHARED
ITEM 1 (UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
NAMES OF REPORTING UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
---------------------------- ---------------- ----------- ---------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
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. 0 300(11) 0 300(11)
David M. Weil 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
Bradley W. Wendt 0 0 0 0
Lance N. West 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
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
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
Xiang-Dong Yang China (PRC) 0 0 0 0
</TABLE>
---------
11 Shared with family members.
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
-------------------------- -------------- ----------- ---------------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
Danny O. Yee 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
Michael J. Zamkow 0 50(12) 0 50(12)
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
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 92 private N/A 0 1,587,808 0 1,587,808
charitable foundations
established by 92 Covered
Persons each of whom is a
co-trustee of one or more of
such private charitable
foundations (13)
TRUSTS
------
2000 Carlos A. Cordeiro
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 Mary Ann Casati Grantor
Retained Annuity Trust 0 0 0 0
</TABLE>
---------
12 Shared with family members.
13 Each Covered Person disclaims beneficial ownership of all such shares of
Common Stock.
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
-------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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
The Andrew M Alper 2000
Annuity Trust I 0 0 0 0
The Andrew M. Gordon 2000
Family Trust 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 Arthur J. Reimers, III
Defective Trust 2000 0 0 0 0
Arthur J. Reimers, III
Grantor Retained Annuity
Trust 2000 0 0 0 0
Barry A. Kaplan 2000 Family
Trust 0 0 0 0
Barry A. Kaplan 2000 GRAT 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 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
</TABLE>
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
---------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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
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 M. Neidich 2000
Annuity Trust I 0 0 0 0
The David B. Ford 2000
Annuity Trust DTD as of
6/16/2000 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 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
</TABLE>
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
--------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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 0 0 0 0
Eff Warren Martin 2000
Grantor Retained Annuity
Trust 0 0 0 0
The Elizabeth Anne Corrigan
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 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 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 W. Wellde, Jr.
2000 Annuity Trust I 0 0 0 0
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
---------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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
The Gregory K. Palm 2000
Annuity Trust I 0 0 0 0
The Gregory K. Palm 2000
Family Trust 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 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
The John A. Thain Trust 0 0 0 0
The John L. Townsend, III
2000 Annuity Trust I 0 0 0 0
The John R. Tormondsen 2000
Annuity Trust I 0 0 0 0
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
ITEM 1 UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
----------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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 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 Jun Makihara 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 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 Kimberly R. Textor 2000
Trust 0 0 0 0
The Kyle F. Textor 2000 Trust 0 0 0 0
The Lawrence R. Buchalter
2000 Annuity Trust I 0 0 0 0
The Lawrence R. Buchalter
2000 Family Trust 0 0 0 0
The Lee G. Vance 2000
Annuity Trust I 0 0 0 0
The Lee G. Vance 2000 Family
Trust 0 0 0 0
The Leslie C. Tortora 2000
Annuity Trust I 0 0 0 0
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
ITEM 1 UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
-------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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 0 0 0 0
M. Roch Hillenbrand Trust
f/b/o Molly D.
Hillenbrand 0 0 0 0
The Mallory G. Neidich 2000
Trust 0 0 0 0
Mark Dehnert Living 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 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
</TABLE>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
ITEM 1 UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
--------------------------- -------------- ----------- ---------------- ------------ ----------------
<S> <C> <C> <C> <C> <C>
The Natalie Cailyn Rogers
2000 Trust 0 0 0 0
The Nina B. Haydock 2000
Trust 0 0 0 0
The Peter C. Gerhard 2000
Annuity Trust I 0 0 0 0
The Peter C. Gerhard 2000
Family Trust 0 0 0 0
The Peter D. Kiernan, III
2000 Annuity Trust I 0 0 0 0
The Peter Kiernan IV 2000
Trust 0 0 0 0
The Peter S. Kraus 2000
Annuity Trust I 0 0 0 0
The Philip D. Murphy 2000
Annuity Trust I 0 0 0 0
The Philip D. Murphy 2000
Family Trust 0 0 0 0
The Ralph F. Rosenberg 2000
Annuity Trust I 0 0 0 0
The Ralph F. Rosenberg 2000
Family Trust 0 0 0 0
The Randolph L. Cowen 2000
Family Trust 0 0 0 0
The Rebecca Viniar 2000 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
The Robert K. Steel 2000
Annuity Trust I 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 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
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
ITEM 1 UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
--------------------------- --------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
The Robert J. Pace 2000
Annuity Trust I 0 0 0 0
The Robert J. Pace 2000
Family Trust 0 0 0 0
The Robin Neustein 2000
Annuity Trust I 0 0 0 0
The Sarah Delacy Kiernan
2000 Trust 0 0 0 0
The Sarah Rose Berlinski
2000 Trust 0 0 0 0
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 0 0 0 0
Scott M. Pinkus 2000 GRAT 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
Trust for the benefit of
David Ford, Jr. under
Indenture of Trust B of
David B. Ford dated
6/16/00 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 0 0 0 0
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
ITEM 1 UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
----------------------------- -------------- ----------- ---------------- ----------- ----------------
<S> <C> <C> <C> <C> <C>
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
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
Beech Associates, L.P. 0 0 0 0
Daniel G. Brennan Family
Limited Partnership 0 0 0 0
Greenley Partners, L.P. 0 0 0 0
HEMPA Limited Partnership 0 0 0 0
The Litzenberger Family
Limited Partnership 0 0 0 0
Mesdag Family Limited
Partnership 0 0 0 0
Mijen Family Partnership 0 0 0 0
The Rizner Family Limited
Partnership 0 0 0 0
</TABLE>
30
<PAGE> 31
This Amendment No. 2 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. 2 is being filed principally because on June 16, 2000,
certain Covered Persons transferred Covered Shares to estate planning vehicles,
which became parties to the Shareholders' Agreement referred to in Item 2 below.
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.
Appendix A hereto also provides the citizenship of each Covered Person,
if other than the United States. Each Covered Person who is an individual (an
"Individual Covered Person") is a senior professional employed or formerly
employed by GS Inc. GS Inc. is a global investment banking and securities firm.
Each of The Daniel G. Brennan Family Limited Partnership, Mark Dehnert Living
Trust, Mijen Family Partnership and The Rizner Family Limited Partnership, and
each other Covered Person who is not an individual (the "Estate Planning Covered
Persons") is a trust or a limited partnership created by an Individual Covered
Person solely for estate planning purposes. The Covered Persons listed in
Appendix A under the caption "Partnerships" are limited partnerships of which an
Individual Covered Person is general partner. Except as indicated on Annex A,
the business address of each Covered Person for purposes of this Schedule is 85
Broad Street, New York, New York 10004.
(d), (e) Except as described in Annex B, during the last five years, no
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.")
acquired certain Covered Shares in exchange for their interests in Group L.P.
and certain of its affiliates and investee corporations; (ii) the former owners
(the "Hull Covered Persons") of Hull and Associates , L.L.C. ("Hull") acquired
certain Covered Shares in exchange for their interests in Hull; (iii) the
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; and (iv) the Estate Planning Covered Persons have acquired and will
acquire beneficial ownership of their Covered Shares as contributions or gifts
made for estate planning purposes by Individual Covered Persons.
31
<PAGE> 32
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,
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 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.
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 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 and Appendix
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 C, 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 and
Appendix 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 D, no Covered Person has effected any
transactions in Common Stock during 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, are filed as Exhibits to
this Schedule 13D and the following summary of the terms of the Shareholders'
Agreement 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.
32
<PAGE> 33
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 former profit participating limited partners active
in the business of Group L.P. 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
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 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.
TRANSFER RESTRICTIONS
Each Individual Covered Person 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 former profit participating limited partners active in the business
of Group L.P. 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.
Under these restrictions, each such former profit participating limited partner
and Hull 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
Estate Planning Covered Persons are subject to the same Partner Transfer
Restrictions that applied to such Covered Shares prior to the contribution or
gift; the Partner Transfer Restrictions will lapse as to such Covered Shares on
May 7, 2004. 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 waived the Partner Transfer Restrictions in order to
permit the transfers of Covered Shares to the Estate Planning Covered Persons.
As a condition to these transfers, 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.
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.
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.
33
<PAGE> 34
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 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 13D and the foregoing summary of these
agreements is qualified in its entirety by reference thereto.
34
<PAGE> 35
Each Covered Person hereby disclaims beneficial ownership of the SBCM
Shares and the KAA Shares.
PLEDGE AGREEMENTS
Each profit participating limited partner who was active in the
business of Group L.P. on May 7, 1999 has pledged 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 are filed as exhibits to this Schedule 13D and the foregoing summary
of these agreements is qualified in its entirety by reference thereto.
In addition, Masanori Mochida, a Covered Person, has pledged 135,428
shares of Common Stock (all of which are Uncovered Shares) to GS Inc. as
security for a loan made by Group L.P. to him. The pledge agreement relating to
such 135,428 shares is filed as an exhibit to this Schedule 13D and the
foregoing summary of this agreement is qualified in its entirety by reference
thereto.
REGISTRATION RIGHTS INSTRUMENT
In connection with the donation of shares of Common Stock to 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 following is a description of the Registration Rights
Instrument, as supplemented. The Registration Rights Instrument and the
Supplemental Registration Rights Instrument 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, as supplemented, 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, as supplemented, 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 of
1933.
GS Inc. may amend the Registration Rights Instrument and the
Supplemental Registration Rights Instrument in any matter 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.
Item 7. Material to be Filed as Exhibits
<TABLE>
<CAPTION>
Exhibit Description
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate
of Bernice Pauahi Bishop and Kamehameha Activities
Association (incorporated by reference to Exhibit B to the
Initial Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
</TABLE>
35
<PAGE> 36
<TABLE>
<CAPTION>
<S> <C>
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 (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. Pledge Agreement, dated May 5, 1999, between Masanori
Mochida and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit F to the Initial Schedule 13D).
G. Registration Rights Instrument (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 (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.
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.
K. 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).
</TABLE>
36
<PAGE> 37
ANNEX A
ITEM 2(B). CERTAIN BUSINESS ADDRESSES
None.
37
<PAGE> 38
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
38
<PAGE> 39
ANNEX C
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO
ACQUIRE EXERCISABLE WITHIN 60 DAYS
SBCM holds 7,440,362 shares of Nonvoting Common Stock which, although
immediately convertible into Common Stock, cannot currently be converted by SBCM
due to restrictions imposed under the Bank Holding Company Act of 1956, as
amended.
On June 21, 2000, 1,736,657 shares of Common Stock will be delivered pursuant to
the terms of an equal number of restricted stock units. These shares of Common
Stock will be Covered Shares.
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<PAGE> 40
ANNEX D
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED
DURING THE LAST 60 DAYS BY THE COVERED PERSONS
On June 16, 2000, 17,723,711 Covered Shares were contributed or gifted to the
Estate Planning Covered Persons by 83 Individual Covered Persons. The transfer
restrictions were reimposed on such Covered Shares immediately upon the
completion of the contribution or gift.
In addition, the following sales of shares of Common Stock were made by the
following Covered Persons within the last 60 days through Goldman, Sachs & Co.
for cash on the New York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
<S> <C> <C> <C>
John P. Curtin, Jr. May 11, 2000 25,938 $83.0474
John P. Curtin, Jr. May 12, 2000 25,000 83.0469
John P. Curtin, Jr. May 15, 2000 25,000 87.00
John P. Curtin, Jr. June 14, 2000 15,330 90.0122
John P. Curtin, Jr. June 15, 2000 9,670 90.00
Charles T. Harris III May 11, 2000 10,375 83.0474
Charles T. Harris III May 12, 2000 5,000 80.25
Christopher K. Norton June 14, 2000 29,274 90.0122
Christopher K. Norton June 15, 2000 18,465 90.00
Peter Wheeler May 9, 2000 20,000 86.00
Peter Wheeler May 10, 2000 20,000 83.00
Peter Wheeler May 12, 2000 10,000 80.25
Peter Wheeler May 12, 2000 10,000 80.25
</TABLE>
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<PAGE> 41
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: June 21, 2000
By: /s/ Gregory K. Palm
--------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
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<PAGE> 42
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit Description
--------------------------------------------------------------------------------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (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. Pledge Agreement, dated May 5, 1999, between Masanori
Mochida and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit F to the Initial Schedule 13D).
G. Registration Rights Instrument (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 (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.
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.
K. 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).
</TABLE>
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