|
|
|
|
|
|
|
|
|
|
|
|
|
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 9
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 20, 2000
--------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
<PAGE> 2
CUSIP NO. 38141G 10 4 13D
1. NAMES OF REPORTING PERSONS: Each of the persons identified on
Appendix A.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Persons(1) (a) [x]
As to a group consisting of persons other than Covered Persons (b) [x]
3. SEC USE ONLY
4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to
Uncovered Shares(2)
(Applies to each person listed on Appendix A.)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
(Applies to each person listed on Appendix A.)
6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless
otherwise indicated on Appendix A.
7. SOLE VOTING POWER (See Item 6)
NUMBER OF As to Covered Shares, 0
SHARES As to Uncovered Shares, as stated in Appendix A
BENEFICIALLY 8. SHARED VOTING POWER (See Item 6) (Applies to
each person listed on Appendix A.)
OWNED BY
246,798,131 Covered Shares held by Covered
REPORTING Persons
PERSON 4,976 Uncovered Shares held by Covered
Persons(3)
WITH
1,419,105 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 248,222,212(6)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES (Applies to each person listed on Appendix A.) [x](6)
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.0%(6)
14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix
A under the caption "Trusts"; PN as to persons listed in
Appendix A under the caption "Partnerships"; CO as to persons
listed in Appendix A under the caption "Corporations"; IN as
to all other persons listed in Appendix A.
---------------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 3.
(3) These are Uncovered Shares also described in Row 7 which each Covered Person
is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not
include the Uncovered Shares described in note 4. Each Covered Person
disclaims beneficial ownership of Uncovered Shares held by each other
Covered Person.
(4) These are Uncovered Shares held by 87 private charitable foundations
established by 87 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 6 ITEM 7 ITEM 8 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED
(UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED 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
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 Netherlands 0 0 0 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 Germany 0 0 0 0
Bauer-Schlichtegroll
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
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 6 ITEM 10
CITIZENSHIP ITEM 7 SHARED
(UNITED STATES SOLE VOTING ITEM 8 ITEM 9 DISPOSITIVE
UNLESS POWER OF SHARED VOTING SOLE DISPOSITIVE POWER OF
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES SHARES
---------------------------- ---------------- ----------- ---------------- ---------------- -----------
<S> <C> <C> <C> <C> <C>
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
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 ITEM 7 ITEM 8 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED
(UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED 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
Maura J. 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 10
ITEM 6 ITEM 9 SHARED
CITIZENSHIP ITEM 7 ITEM 8 SOLE DISPOSITIVE
(UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE POWER OF POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES UNCOVERED SHARES UNCOVERED 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, Jr. 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
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
Edward K. Eisler Austria 0 0 0 0
Jason H. Ekaireb UK 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP SHARED VOTING ITEM 9 SHARED
(UNITED STATES ITEM 7 POWER SOLE DISPOSITIVE
UNLESS SOLE VOTING OF DISPOSITIVE POWER OF
ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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 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
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 10
ITEM 6 ITEM 8 SHARED
CITIZENSHIP ITEM 7 SHARED VOTING ITEM 9 DISPOSITIVE
(UNITED STATES SOLE VOTING POWER OF SOLE DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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(7) 0 2,860(7)
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
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>
----------
(7) Shared with family members.
9
<PAGE> 10
<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>
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. Hoffman-Zehner Canada 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
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
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 8 ITEM 9
ITEM 6 ITEM 7 SHARED VOTING SOLE ITEM 10
CITIZENSHIP SOLE VOTING POWER OF DISPOSITIVE SHARED
(UNITED STATES POWER OF UNCOVERED POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED SHARES UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) 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 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
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 6 ITEM 8 ITEM 9
CITIZENSHIP ITEM 7 SHARED VOTING SOLE ITEM 10
(UNITED STATES SOLE VOTING POWER OF DISPOSITIVE SHARED
UNLESS POWER OF UNCOVERED POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED SHARES UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) 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(8) 0 15(8)
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
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>
----------
(8) Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP SHARED ITEM 9 SHARED
(UNITED STATES ITEM 7 VOTING POWER SOLE DISPOSITIVE
UNLESS SOLE VOTING OF DISPOSITIVE POWER OF
ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES 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
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 6
CITIZENSHIP ITEM 7 ITEM 9 ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 SOLE SHARED
UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED 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
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
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 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
</TABLE>
14
<PAGE> 15
<TABLE>
<CAPTION>
ITEM 6 ITEM 10
CITIZENSHIP ITEM 7 ITEM 9 SHARED
(UNITED SOLE VOTING ITEM 8 SOLE DISPOSITIVE
STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES 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 22 0 22 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 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
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 6 ITEM 9 ITEM 10
CITIZENSHIP ITEM 8 SOLE SHARED
(UNITED STATES ITEM 7 SHARED VOTING DISPOSITIVE DISPOSITIVE
UNLESS SOLE VOTING POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE POWER OF UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES SHARES 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 Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 0 0 0
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
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
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING SOLE SHARED
(UNITED STATES POWER OF POWER OF DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED 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
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
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
Peter Schiefer Germany 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 10
ITEM 6 ITEM 7 ITEM 9 SHARED
CITIZENSHIP SOLE VOTING ITEM 8 SOLE DISPOSITIVE
(UNITED STATES POWER OF SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES 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
Cathrine S. Steck 0 0 0 0
Fredric E. Steck 0 0 0 0
Robert K. Steel 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 6 ITEM 8
CITIZENSHIP SHARED VOTING ITEM 9 ITEM 10
(UNITED STATES ITEM 7 POWER SOLE SHARED
UNLESS SOLE VOTING OF DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED 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 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
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 6
CITIZENSHIP ITEM 7 ITEM 9 ITEM 10
(UNITED SOLE VOTING ITEM 8 SOLE SHARED
STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED 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. 0 190(9) 0 190(9)
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
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
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/ 0 0 0 0
China (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>
----------
(9) 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 20(10) 0 20(10)
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 87 private N/A 0 1,419,105 0 1,419,105
charitable foundations
established by 87 Covered
Persons each of whom is a
co-trustee of one or more of
such private charitable
foundations(11)
</TABLE>
--------
(10) Shared with family members.
(11) Each Covered Person disclaims beneficial ownership of all such shares of
Common Stock.
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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>
TRUSTS
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
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
</TABLE>
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
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
</TABLE>
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
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
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
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
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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 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
</TABLE>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
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
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
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
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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>
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
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
</TABLE>
30
<PAGE> 31
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 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
Annuity Trust I 0 0 0 0
The Peter C. Gerhard 2000
Family Trust 0 0 0 0
The Peter D. Kiernan, III
2000 Annuity Trust I 0 0 0 0
The Peter Kiernan IV 2000
Trust 0 0 0 0
The Peter S. Kraus 2000
Annuity Trust I 0 0 0 0
The Philip D. Murphy 2000
Annuity Trust I 0 0 0 0
The Philip D. Murphy 2000
Family Trust 0 0 0 0
The Philip Darivoff 2000
Annuity Trust I 0 0 0 0
The Rachel M. Darivoff 2000
Trust 0 0 0 0
The Ralph F. Rosenberg 2000
Annuity Trust I 0 0 0 0
The Ralph F. Rosenberg 2000
Family Trust 0 0 0 0
</TABLE>
31
<PAGE> 32
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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>
Randal M. Fippinger-Millennium 0 0 0 0
Trust
The Randolph L. Cowen 2000 0 0 0 0
Family Trust
Rayas Trust Jersey 0 0 0 0
The Rebecca Viniar 2000 Trust 0 0 0 0
The Richard A. Friedman 2000 0 0 0 0
Annuity Trust I
The Richard A. Friedman 2000 0 0 0 0
Family Trust
The Richard A. Sapp 2000 0 0 0 0
Annuity Trust I
The Richard A. Sapp 2000 0 0 0 0
Family Trust
The Richard E. Witten 2000 0 0 0 0
Annuity Trust I
The Richard G. Sherlund 2000 0 0 0 0
Annuity Trust I
Robert A. Fippinger, 0 0 0 0
Jr.-Millennium Trust
The Robert B. Litterman 2000 0 0 0 0
Annuity Trust I
The Robert B. Litterman 2000 0 0 0 0
Family Trust
The Robert B. Morris III 2000 0 0 0 0
Annuity Trust I
The Robert J. Hurst 2000 0 0 0 0
Annuity Trust I
The Robert J. Hurst 2000 0 0 0 0
Family Trust
The Robert J. Katz 2000 0 0 0 0
Annuity Trust I
The Robert J. O Shea 2000 0 0 0 0
Annuity Trust I
The Robert J. O Shea 2000 0 0 0 0
Family Trust
The Robert J. Pace 2000 0 0 0 0
Annuity Trust I
The Robert J. Pace 2000 Family 0 0 0 0
Trust
The Robert K. Steel 2000 0 0 0 0
Annuity Trust I
The Robert B. Morris III 2000 0 0 0 0
Family Trust
The Robin Neustein 2000 0 0 0 0
Annuity Trust I
</TABLE>
32
<PAGE> 33
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 Samantha Schiller 2000 0 0 0 0
Trust
The Sarah B. Lopatin 2000 0 0 0 0
Trust
The Sarah Delacy Kiernan 2000 0 0 0 0
Trust
The Sarah M. Darivoff 2000 0 0 0 0
Trust
The Sarah Rose Berlinski 2000 0 0 0 0
Trust
The Scott B. Kapnick 2000 0 0 0 0
Annuity Trust I
The Scott B. Kapnick 2000 0 0 0 0
Family Trust
Scott M. Pinkus 2000 Family New Jersey 0 0 0 0
Trust
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 0 0 0 0
Trust
The Steven M. Heller, Jr. 0 0 0 0
2000 Trust
The Steven T. Mnuchin 2000 0 0 0 0
Annuity Trust I
The Steven T. Mnuchin 2000 0 0 0 0
Family Trust
The Stuart Mark Rothenberg 0 0 0 0
2000 Annuity Trust I
The Stuart Mark Rothenberg 0 0 0 0
2000 Family Trust
The Terence M. O Toole 2000 0 0 0 0
Annuity Trust I
The Terence M. O Toole 2000 0 0 0 0
Family Trust
The Tess Augusta Linden 2000 0 0 0 0
Trust
The Thomas K. Montag 2000 0 0 0 0
Annuity Trust I
The Thomas K. Montag 2000 0 0 0 0
Family Trust
The Tracy Richard 0 0 0 0
Wolstencroft 2000 Annuity
Trust I
</TABLE>
33
<PAGE> 34
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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 Tracy Richard 0 0 0 0
Wolstencroft 2000 Family
Trust
Trust for the benefit of Pennsylvania 0 0 0 0
David Ford, Jr. under
Indenture of Trust B of
David B. Ford dated
6/16/00
Trust for the benefit of Pennsylvania 0 0 0 0
Jamie Ford under
Indenture of Trust B of
David B. Ford dated as of
6/16/00
Vyrona Trust Jersey 0 0 0 0
The Walter H. Haydock 2000 0 0 0 0
Annuity Trust I
The Walter H. Haydock, Jr. 0 0 0 0
2000 Trust
The William C. Sherlund 2000 0 0 0 0
Trust
The William Keith 0 0 0 0
Litzenberger 2000 Grantor
Retained Annuity Trust
The William Keith 0 0 0 0
Litzenberger Remainder
Trust
The Zachariah Cobrinik 2000 0 0 0 0
Annuity Trust I
The Zachariah Cobrinik Family 0 0 0 0
2000 Trust
</TABLE>
PARTNERSHIPS
<TABLE>
<S> <C> <C> <C> <C> <C>
ALS Investment Partners, L.P. Delaware 0 0 0 0
Beech Associates, L.P. Delaware 0 0 0 0
Crestley, L.P. Delaware 0 0 0 0
Daniel G. Brennan Family Illinois 0 0 0 0
Limited Partnership
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
Mesdag Family Limited Delaware 0 0 0 0
Partnership
</TABLE>
34
<PAGE> 35
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9
ORGANIZATION ITEM 7 SOLE ITEM 10
(NEW YORK 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>
Mijen Family Partnership Illinois 0 0 0 0
Opatrny Investment Partners, Delaware 0 0 0 0
L.P.
Rantz GS Investment Partners, Delaware 0 0 0 0
L.P.
Savitz Investment Partners, Delaware 0 0 0 0
L.P.
The Litzenberger Family Delaware 0 0 0 0
Limited Partnership
The Rizner Family Limited Illinois 0 0 0 0
Partnership
Trott GS Investment Partners, Delaware 0 0 0 0
L.P.
Tuft GS Investment Partners, Delaware 0 0 0 0
L.P.
Windy Hill Investment Company Delaware 0 0 0 0
II, L.P.
Winkelried Investment Delaware 0 0 0 0
Partners, L.P.
</TABLE>
CORPORATIONS
<TABLE>
<S> <C> <C> <C> <C> <C>
Anahue Limited Jersey 0 0 0 0
Guapulo Holdings Ltd Jersey 0 0 0 0
HJS2 Limited Cayman Islands 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>
35
<PAGE> 36
This Amendment No. 9 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. 9 is being filed because certain Covered Persons (as defined
below) have in the aggregate disposed of shares of Common Stock (as defined
below) in an amount in excess of one percent of the total number of shares of
Common Stock outstanding.
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 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, limited
partnership or corporation 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. Each Estate Planning Covered Person listed in
Appendix A under the caption "Corporations" (a "Corporate Estate Planning
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 Estate Planning 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; and (iii) 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
36
<PAGE> 37
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) 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; (iv) 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 (v) 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 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 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 4,512,320 shares had been
sold as of October 20, 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 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.
37
<PAGE> 38
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. 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 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.
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").
38
<PAGE> 39
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. Under these restrictions, each such PMD 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 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
4,512,320 Covered Shares had been sold as of October 20, 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.
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
39
<PAGE> 40
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 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
40
<PAGE> 41
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 the Corporate Estate Planning
Covered Persons, 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.
REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS
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 "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 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.
41
<PAGE> 42
Item 7. Material to be Filed as Exhibits
<TABLE>
<CAPTION>
Exhibit Description
------- -----------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed
as Exhibit E), dated July 10, 2000 (incorporated by
reference to Exhibit F to Amendment No. 4 to the Initial
Schedule 13D, filed July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10,
1999 (incorporated by reference to Exhibit G to Amendment
No. 1 to the Initial Schedule 13D, filed December 17, 1999
(File No. 005-56295)).
H. Supplemental Registration Rights Instrument, dated as of
December 10, 1999 (incorporated by reference to Exhibit H to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (incorporated by reference to Exhibit I to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former
retired limited partners of The Goldman Sachs Group, L.P.
who are currently managing directors of The Goldman Sachs
Group, Inc. (incorporated by reference to Exhibit J to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
K. Form of Counterpart to Shareholders' Agreement for
non-individual former owners of Hull and Associates, L.L.C.
(incorporated by reference to Exhibit K to Amendment No. 3
to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File
No. 005-56295)).
</TABLE>
42
<PAGE> 43
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)).
43
<PAGE> 44
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
COVERED PERSONS
<TABLE>
<CAPTION>
CONVICTIONS OR BENEFICIAL
VIOLATIONS OF OWNERSHIP OF THE
FEDERAL OR STATE COMMON STOCK OF
LAWS WITHIN THE THE GOLDMAN
NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS SACHS GROUP, INC.
-------------- ----------- ---------------- ------------------ --------------- -----------------
<S> <C> <C> <C> <C> <C>
Steven M. USA 85 Broad Street Managing Director, None Covered Person,
Bunson New York, NY The Goldman Sachs so ownership is
10004 Group, Inc. as set forth in
or incorporated
into Item 5
above.
Russell E. USA 85 Broad Street Managing Director, None Covered Person,
Makowsky New York, NY The Goldman Sachs so ownership is
10004 Group, Inc. as set forth in
or incorporated
into Item 5
above.
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
</TABLE>
44
<PAGE> 45
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
45
<PAGE> 46
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS
During GS Inc.'s fiscal quarter ending 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 20, 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
W. Mark Evans 70,000
Pieter Maarten Feenstra 17,961
</TABLE>
46
<PAGE> 47
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ---------
<S> <C>
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
Arthur S. Margulis, Jr. 10,436
Ronald G. Marks 28,907
</TABLE>
47
<PAGE> 48
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ---------
<S> <C>
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
Stuart M. Rothenberg 31,738
Michael S. Rubinoff 17,189
</TABLE>
48
<PAGE> 49
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ---------
<S> <C>
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
Thomas B. Walker III 80,153
George H. Walker IV 15,886
</TABLE>
------------------------
* Includes shares held by a corporation wholly owned by the Covered Person.
49
<PAGE> 50
<TABLE>
<CAPTION>
NUMBER OF
COVERED PERSON SHARES
-------------- ---------
<S> <C>
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>
50
<PAGE> 51
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.
51
<PAGE> 52
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
The following sales of shares of Common Stock were made by the following Covered
Persons 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>
Peter Wheeler 9/25/00 10,000 $118.50
Peter Wheeler 10/19/00 20,000 102.00
</TABLE>
The following sales of shares of Common Stock were made by the following Covered
Persons through ChaseMellon Shareholder Services, L.L.C. for cash on the New
York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
-------------- ---------- ---------------- ---------------
<S> <C> <C> <C>
Ellen R. Porges 9/25/00 365 $117.44
Ellen R. Porges 9/25/00 135 117.44
Jeffrey W. Schroeder 9/25/00 1,199 117.44
Haruko Watanuki 9/25/00 889 117.44
Daniel G. Brennan 9/26/00 1,903 112.39
Douglas W. Caterfino 9/26/00 175 112.39
Adrian P. Kingshott 9/26/00 2,128 112.39
Therese L. Miller 9/26/00 129 112.39
John S. Rizner 9/26/00 1,719 112.39
Patrick Sullivan 9/26/00 1,543 112.39
Darren S. Thompson 9/26/00 1,988 112.39
Thomas B. Lewis, Jr. 9/27/00 750 107.28
Arthur S. Margulis, Jr. 9/27/00 4,779 107.28
Joseph P. McGrath, Jr. 9/29/00 2,354 114.97
Lay Pheng Ang 10/3/00 1,305 115.40
Barbara J. Basser-Bigio 10/3/00 1,062 115.40
Tarek M. Ben Halim 10/3/00 1,550 115.40
Jean-Luc Biamonti 10/3/00 1,000 115.40
James T. Kiernan, Jr. 10/3/00 1,178 115.40
Peter C. Aberg 10/4/00 71 109.69
Calvin R. Carver, Jr. 10/6/00 165 112.06
John E. Eisenberg 10/6/00 131 112.06
Louis S. Greig 10/13/00 1,195 97.13
John J. Masterson 10/17/00 200 97.52
Douglas W. Caterfino 10/19/00 150 101.75
Kenneth W. William 10/19/00 300 101.75
Oliver L. Frankel 10/20/00 700 103.44
Sofia Katzup 10/20/00 397 103.44
John J. Masterson 10/20/00 200 103.44
</TABLE>
52
<PAGE> 53
RULE 144 PROGRAM
Commencing on September 25, 2000, the Covered Persons listed in Table I
below sold an aggregate of 4,512,320 Covered Shares under the Rule 144 Program
referred to in Item 4 above through October 20, 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 EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Bradley I. Abelow 446 8,920
Paul M. Achleitner 2,000 39,999
Jonathan R. Aisbitt 2,311 46,220
Andrew M. Alper 1,428 28,560
Armen A. Avanessians 714 14,280
David Baum 461 9,220
Ron E. Beller 974 19,480
Lloyd C. Blankfein 2,576 51,519
Peter L. Briger, Jr. 1,008 20,160
Richard J. Bronks 492 9,840
Lawrence R. Buchalter 780 15,600
Michael J. Carr 581 11,620
Christopher J. Carrera 487 9,740
Mary Ann Casati 343 6,860
Zachariah Cobrinik 798 15,960
Abby Joseph Cohen 286 5,720
Gary D. Cohn 1,280 25,600
Christopher A. Cole 1,363 27,260
Carlos A. Cordeiro 1,521 30,419
Henry Cornell 1,531 30,620
E. Gerald Corrigan 1,714 34,280
Jon S. Corzine 5,252 105,040
Claudio Costamagna 592 11,840
Frank L. Coulson, Jr. 1,933 38,659
Randolph L. Cowen 864 17,280
Philip M. Darivoff 386 7,720
Timothy D. Dattels 924 18,480
Gavyn Davies 2,754 55,079
David A. Dechman 484 9,680
Joseph Della Rosa 1,430 28,600
Alexander C. Dibelius 295 5,900
</TABLE>
------------------
* The number of shares sold by a Covered Person on some Trading Days may have
been one share lower than the number listed.
53
<PAGE> 54
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
John O. Downing 1,000 20,000
Connie K. Duckworth 1,260 25,200
Glenn P. Earle 900 18,000
Paul S. Efron 497 9,940
J. Michael Evans 1,233 24,660
W. Mark Evans 2,000 39,999
Pieter Maarten Feenstra 513 10,260
David B. Ford 1,949 38,979
Edward C. Forst 408 8,160
Christopher G. French 503 10,060
Richard A. Friedman 2,778 55,559
Joseph D. Gatto 857 17,140
Peter C. Gerhard 1,509 30,180
Nomi P. Ghez 1,170 23,400
Joseph H. Gleberman 1,824 36,480
Jacob D. Goldfield 1,612 32,239
Amy O. Goodfriend 526 10,520
Andrew M. Gordon 143 2,860
Geoffrey T. Grant 853 17,060
Eric P. Grubman 1,027 20,540
Joseph D. Gutman 777 15,540
Robert S. Harrison 1,009 20,180
Thomas J. Healey 1,527 30,540
Sylvain M. Hefes 2,034 40,680
David B. Heller 571 11,420
David L. Henle 429 8,580
Mary C. Henry 907 18,140
M. Roch Hillenbrand 429 8,580
Jacquelyn M. Hoffman-Zehner 710 14,200
Fern Hurst 286 5,720
Robert J. Hurst 1,143 22,860
Francis J. Ingrassia 1,101 22,020
Reuben Jeffery III 1,833 36,660
Stefan J. Jentzsch 279 5,580
Chansoo Joung 573 11,460
Ann F. Kaplan 1,705 34,099
Scott B. Kapnick 1,695 33,899
Robert J. Katz 1,286 25,720
Douglas W. Kimmelman 654 13,080
Bradford C. Koenig 1,008 20,160
Jonathan L. Kolatch 1,074 21,480
Peter S. Kraus 417 8,340
David G. Lambert 679 13,580
Thomas D. Lasersohn 492 9,840
Lawrence H. Linden 1,664 33,279
</TABLE>
54
<PAGE> 55
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Robert Litterman 1,007 20,140
Robert H. Litzenberger 305 6,100
Jonathan M. Lopatin 935 18,700
Michael R. Lynch 2,184 43,680
Peter G. C. Mallinson 1,681 33,620
Arthur S. Margulis, Jr. 298 5,960
Ronald G. Marks 826 16,520
Eff W. Martin 2,014 40,280
John P. McNulty 2,742 54,839
E. Scott Mead 1,358 27,160
Sanjeev K. Mehra 554 11,080
T. Willem Mesdag 1,315 26,300
Eric M. Mindich 1,715 34,300
Masanori Mochida 2,329 46,579
Karsten N. Moller 934 18,680
Thomas K. Montag 1,143 22,860
Robert B. Morris III 1,810 36,200
Michael P. Mortara 2,966 59,320
Sharmin Mossavar-Rahmani 1,932 38,640
Edward A. Mule 1,452 29,040
Thomas S. Murphy, Jr. 354 7,080
Philip D. Murphy 571 11,420
Avi M. Nash 314 6,280
Daniel M. Neidich 2,057 41,140
Kipp M. Nelson 961 19,220
Robin Neustein 1,247 24,940
Suzanne M. Nora Johnson 1,780 35,600
Michael E. Novogratz 437 8,740
Terence J. O'Neill 1,643 32,860
Timothy J. O'Neill 1,951 39,020
Donald C. Opatrny, Jr. 1,788 35,760
Robert J. O'Shea 1,556 31,120
Greg M. Ostroff 356 7,120
Terence M. O'Toole 2,214 44,279
Robert J. Pace 370 7,400
Gregory K. Palm 1,089 21,780
Scott M. Pinkus 1,582 31,640
Timothy C. Plaut 1,075 21,500
Wiet H. M. Pot 2,105 42,099
John J. Powers 2,105 42,099
Scott Prince 416 8,320
Stephen D. Quinn 1,740 34,800
Michael G. Rantz 959 19,180
Girish V. Reddy 466 9,320
Arthur J. Reimers III 1,178 23,560
</TABLE>
55
<PAGE> 56
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
James P. Riley, Jr. 1,756 35,120
Simon M. Robertson 1,371 27,420
J. David Rogers 1,904 38,080
Emmanuel Roman 499 9,980
Ralph Rosenberg 373 7,460
Stuart M. Rothenberg 907 18,140
Michael S. Rubinoff 491 9,820
Richard M. Ruzika 472 9,440
Jeri Lynn Ryan 276 5,520
John C. Ryan 514 10,280
Michael D. Ryan 403 8,060
Richard A. Sapp 2,500 50,000
Joseph Sassoon 1,547 30,940
Muneer A. Satter 874 17,480
Jonathan S. Savitz 298 5,960
Peter Savitz 799 15,980
Howard B. Schiller 944 18,880
Antoine Schwartz 516 10,320
Eric S. Schwartz 1,704 34,080
Charles B. Seelig, Jr. 1,656 33,120
Steven M. Shafran 721 14,420
Richard S. Sharp 1,934 38,680
James M. Sheridan 810 16,200
Richard G. Sherlund 1,130 22,600
Michael S. Sherwood 1,612 32,240
Howard A. Silverstein 1,314 26,280
Dinakar Singh 484 9,680
Christian J. Siva-Jothy 497 9,940
Cody J Smith 1,107 22,140
Jonathan S. Sobel 483 9,660
Marc A. Spilker 882 17,640
Daniel W. Stanton 1,257 25,140
Esta E. Stecher 1,115 22,300
Cathrine S. Steck 372 7,440
Fredric E. Steck 286 5,720
Gene T. Sykes 714 14,280
Mark R. Tercek 801 16,020
Donald F. Textor 1,020 20,400
John R. Tormondsen 752 15,040
Leslie C. Tortora 1,878 37,560
John L. Townsend III 1,582 31,640
Byron D. Trott 1,083 21,660
Robert B. Tudor III 494 9,880
</TABLE>
56
<PAGE> 57
<TABLE>
<CAPTION>
SHARES SOLD EACH TOTAL SHARES SOLD ON
COVERED PERSON TRADING DAY ALL TRADING DAYS
-------------- ----------- ----------------
<S> <C> <C>
Thomas E. Tuft 2,111 42,220
Malcolm B. Turnbull* 517 10,340
John E. Urban 491 9,820
Lee G. Vance 1,244 24,880
David A. Viniar 2,124 42,479
Barry S. Volpert 2,000 40,000
Thomas B. Walker III 2,290 45,799
George H. Walker IV 454 9,080
Patrick J. Ward 2,931 58,620
George W. Wellde, Jr. 1,425 28,500
Anthony G. Williams 1,684 33,680
Gary W. Williams 1,428 28,560
Kendrick R. Wilson III 1,281 25,620
Jon Winkelried 1,686 33,720
Steven J. Wisch 286 5,720
Richard E. Witten 2,015 40,299
Tracy R. Wolstencroft 857 17,140
Yasuyo Yamazaki 571 11,420
Danny O. Yee 1,055 21,100
Michael J. Zamkow 1,177 23,540
Yoel Zaoui 593 11,860
Gregory H. Zehner 733 14,660
Joseph R. Zimmel 2,237 44,740
Barry L. Zubrow 1,836 36,720
Mark A. Zurack 882 17,640
TRUSTS
Anahue Trust 300 6,000
The Guapulo Trust 1,071 21,420
Mark Dehnert Living Trust 100 2,000
PARTNERSHIPS
The Daniel G. Brennan Family Limited Partnership 153 3,060
Mijen Family Partnership 273 5,460
The Rizner Family Limited Partnership 229 4,580
CORPORATIONS
Majix Limited 935 18,700
Melalula Limited 1,850 37,000
</TABLE>
* Includes shares held by a corporation wholly owned by the Covered Person.
57
<PAGE> 58
Table II
<TABLE>
<CAPTION>
TRADING DAY PRICE PER SHARE
----------- ---------------
<S> <C>
September 25, 2000 $117.5957
September 26, 2000 112.4850
September 27, 2000 108.8514
September 28, 2000 111.5335
September 29, 2000 114.8677
October 2, 2000 114.8219
October 3, 2000 115.2372
October 4, 2000 109.8555
October 5, 2000 113.5343
October 6, 2000 108.3895
October 9, 2000 105.4208
October 10, 2000 101.7795
October 11, 2000 99.5013
October 12, 2000 96.8920
October 13, 2000 98.8632
October 16, 2000 102.4214
October 17, 2000 98.0026
October 18, 2000 96.5671
October 19, 2000 102.1251
October 20, 2000 104.1141
</TABLE>
58
<PAGE> 59
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: October 23, 2000
By: /s/ Gregory K. Palm
-------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
59
<PAGE> 60
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit Description
------- -----------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed
as Exhibit E), dated July 10, 2000 (incorporated by
reference to Exhibit F to Amendment No. 4 to the Initial
Schedule 13D, filed July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10,
1999 (incorporated by reference to Exhibit G to Amendment
No. 1 to the Initial Schedule 13D, filed December 17, 1999
(File No. 005-56295)).
H. Supplemental Registration Rights Instrument, dated as of
December 10, 1999 (incorporated by reference to Exhibit H to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (incorporated by reference to Exhibit I to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former
retired limited partners of The Goldman Sachs Group, L.P.
who are currently managing directors of The Goldman Sachs
Group, Inc. (incorporated by reference to Exhibit J to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
K. Form of Counterpart to Shareholders' Agreement for
non-individual former owners of Hull and Associates, L.L.C.
(incorporated by reference to Exhibit K to Amendment No. 3
to the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File
No. 005-56295)).
</TABLE>
60
<PAGE> 61
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)).
61
|
|