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Previous: GOLDMAN SACHS GROUP INC, 424B3, 2000-06-30 |
Next: GOLDMAN SACHS GROUP INC, SC 13D/A, EX-99.K, 2000-06-30 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 3
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
The Goldman Sachs Group, Inc.
---------------------
(Name of Issuer)
Common Stock, par value $.01 per share
---------------------------
(Title of Class of Securities)
38141G 10 4
---------------------
(CUSIP Number)
Robert J. Katz
Gregory K. Palm
James B. McHugh
The Goldman Sachs Group, Inc.
85 Broad Street
New York, New York 10004
Telephone: (212) 902-1000
--------------------
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
June 26, 2000
--------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on
Schedule 13G to report the acquisition that is the subject
of this Schedule 13D, and is
filing this schedule because of Rule
13d-1(e), 13d-1(f) or 13d-1(g),
check the following box [ ].
(Continued on following pages)
<PAGE> 2
CUSIP NO. 38141G 10 4 13D
1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A.
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Persons(1) (a) [x]
As to a group consisting of persons other than Covered Persons (b) [x]
3. SEC USE ONLY
4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered
Shares(2) (Applies to each person listed on Appendix A.)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM
2(d) OR 2(e) (Applies to each person listed on Appendix A.) [ ]
6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated
on Appendix A.
7. SOLE VOTING POWER (See Item 6)
NUMBER OF As to Covered Shares, 0
SHARES As to Uncovered Shares, as stated in
BENEFICIALLY Appendix A
OWNED BY
REPORTING
PERSON
WITH
8. SHARED VOTING POWER (See Item
6) (Applies to each person
listed on Appendix A.)
274,663,035 Covered Shares
held by Covered Persons
141,629 Uncovered Shares held
by Covered Persons(3)
1,587,508 Other Uncovered Shares
held by Covered Persons(4)
21,975,421 shares held by KAA(5)
21,425,052 shares held by SBCM(5/6)
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Covered Shares, less than 1%
As to Uncovered Shares, as stated in
Appendix A
10. SHARED DISPOSITIVE POWER
(See Item 6):
As to Covered Shares, 0
As to Uncovered Shares, as stated in
Appendix A
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
276,392,172(7)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [X](7)
SHARES (Applies to each person listed on Appendix A.)
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 61.8%(7)
14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the
caption "Trusts"; PN as to persons listed in Appendix A under the caption
"Partnerships"; 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 92 private charitable foundations
established by 92 Covered Persons each of whom is a co-trustee of one or
more of such private charitable foundations and may be deemed to
beneficially own such Uncovered Shares. Each other Covered Person may be
deemed to beneficially own such Uncovered Shares by application of Rule
13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of
such Uncovered Shares, and each other Covered Person also disclaims
beneficial ownership of such Uncovered Shares.
2
<PAGE> 3
5 For a definition of this term, please see Item 2. The Covered Persons may
be deemed to be members of a "group" with KAA and SBCM. Each Covered Person
disclaims beneficial ownership of shares of Common Stock held by KAA and
SBCM.
6 The 21,425,052 shares held by SBCM exclude 7,440,362 shares of Nonvoting
Common Stock held by SBCM which, although immediately convertible into
Common Stock, cannot currently be converted by SBCM due to restrictions
imposed under the Bank Holding Company Act of 1956, as amended. Please see
the separate Schedule 13D filed by SBCM and any amendments thereto for
information relating to such shares. Each Covered Person disclaims
beneficial ownership as to the Nonvoting Common Stock held by SBCM.
7 Excludes 21,425,052 and 21,975,421 shares of Common Stock held by SBCM and
KAA, respectively, as to which each Covered Person disclaims beneficial
ownership. See also note 6. Each Covered Person disclaims beneficial
ownership as to the Nonvoting Common Stock held by SBCM.
3
<PAGE> 4
APPENDIX A
<TABLE>
<CAPTION>
ITEM 6 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>
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 M. Baum 0 0 0 0
Patrick Y. Baune France 0 0 0 0
Robert A. Beckwitt 0 0 0 0
Jonathan A. Beinner 0 0 0 0
Ron E. Beller 0 0 0 0
Tarek M. Ben Halim Saudi Arabia 0 0 0 0
Jaime I. Bergel Spain 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
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 100 0 100 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 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>
Thomas P. Chang 0 0 0 0
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
Robert J. Christie 0 0 0 0
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Abby Joseph Cohen 0 0 0 0
Lawrence H. Cohen 0 0 0 0
Marc I. Cohen 0 0 0 0
Gary D. Cohn 0 0 0 0
Christopher A. Cole 0 0 0 0
Timothy J. Cole 0 0 0 0
Laura C. Conigliaro 0 0 0 0
Liam Connell 0 0 0 0
Thomas G. Connolly Ireland/USA 0 0 0 0
Frank T. Connor 0 0 0 0
Donna L. Conti 0 0 0 0
Karen R. Cook UK 0 0 0 0
Edith W. Cooper 0 0 0 0
Philip A. Cooper 0 0 0 0
Carlos A. Cordeiro 0 0 0 0
Henry Cornell 0 0 0 0
E. Gerald Corrigan 0 0 0 0
Jon S. Corzine 0 0 0 0
Claudio Costamagna Italy 0 0 0 0
Frank L. Coulson, Jr. 0 0 0 0
Kenneth Courtis 0 0 0 0
Randolph L. Cowen 0 0 0 0
Neil D. Crowder 0 0 0 0
Eduardo A. Cruz 0 0 0 0
John P. Curtin, Jr. 0 0 0 0
John W. Curtis 0 0 0 0
Stephen C. Daffron 0 0 0 0
John S. Daly Ireland 0 0 0 0
Philip M. Darivoff 0 0 0 0
Matthew S. Darnall 0 0 0 0
Timothy D. Dattels Canada 0 0 0 0
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 6 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>
Gavyn Davies UK 0 0 0 0
Michael G. De Lathauwer Belgium 0 0 0 0
David A. Dechman 0 0 0 0
Mark Dehnert 0 0 0 0
Paul C. Deighton UK 0 0 0 0
James Del Favero Australia 0 0 0 0
Juan A. Del Rivero Spain 0 0 0 0
Robert V. Delaney 0 0 0 0
Joseph Della Rosa 0 0 0 0
Emanuel Derman 0 0 0 0
Martin R. Devenish UK 0 0 0 0
Andrew C. Devenport UK 0 0 0 0
Stephen D. Dias UK 0 0 0 0
Armando A. Diaz 0 0 0 0
Alexander C. Dibelius Germany 0 0 0 0
Paul M. DiNardo 0 0 0 0
Simon P. Dingemans UK 0 0 0 0
Sandra D'Italia 0 0 0 0
Michele I. Docharty 0 0 0 0
Paula A. Dominick 0 0 0 0
Noel B. Donohoe Ireland 0 0 0 0
Jana Hale Doty 0 0 0 0
Robert G. Doumar, Jr. 0 0 0 0
Thomas M. Dowling 0 0 0 0
John O. Downing 0 0 0 0
Michael B. Dubno 0 0 0 0
Connie K. Duckworth 0 0 0 0
William C. Dudley 0 0 0 0
Brian J. Duffy 0 0 0 0
Matthieu B. Duncan 0 0 0 0
C. Steven Duncker 0 0 0 0
Karlo J. Duvnjak Canada 0 0 0 0
Jay S. Dweck 0 0 0 0
Gordon E. Dyal 0 0 0 0
Isabelle Ealet France 0 0 0 0
Glenn P. Earle UK 0 0 0 0
Paul S. Efron 0 0 0 0
Herbert E. Ehlers 0 0 0 0
Alexander S. Ehrlich 0 0 0 0
John E. Eisenberg 0 0 0 0
Edward K. Eisler Austria 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6 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>
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 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>
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Jeffrey B. Goldenberg 0 2,860(8) 0 2,860(8)
Jacob D. Goldfield 0 0 0 0
James S. Golob 0 0 0 0
Amy O. Goodfriend 0 0 0 0
Jay S. Goodgold 0 0 0 0
Andrew M. Gordon 0 0 0 0
Anthony J. Gordon 0 0 0 0
Robert D. Gottlieb 0 0 0 0
Frank J. Governali 0 0 0 0
Lorenzo Grabau Italy 0 0 0 0
Geoffrey T. Grant 0 0 0 0
William M. Grathwohl 0 0 0 0
David J. Greenwald 0 0 0 0
Louis S. Greig UK 0 0 0 0
Peter W. Grieve 0 0 0 0
Christopher Grigg UK 0 0 0 0
Douglas C. Grip 0 0 0 0
Eric P. Grubman 0 0 0 0
Celeste A. Guth 0 0 0 0
Joseph D. Gutman 0 0 0 0
Erol Hakanoglu Turkey 0 0 0 0
Roger C. Harper 0 0 0 0
Charles T. Harris III 0 0 0 0
Robert S. Harrison 0 0 0 0
Shelley A. Hartman 0 0 0 0
Paul R. Harvey 0 0 0 0
Arthur J. Hass 0 0 0 0
Nobumichi Hattori Japan 0 0 0 0
Stephen J. Hay UK 0 0 0 0
Walter H. Haydock 0 0 0 0
Isabelle Hayen Belgium 0 0 0 0
Keith L. Hayes UK 0 0 0 0
Thomas J. Healey 0 0 0 0
John P. Heanue 0 0 0 0
Robert C. Heathcote UK 0 0 0 0
</TABLE>
------------
(8) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 6 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>
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
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 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>
Robert C. Jones 0 0 0 0
Chansoo Joung 0 0 0 0
Andrew J. Kaiser 0 0 0 0
Ann F. Kaplan 21 0 21 0
Barry A. Kaplan 0 0 0 0
David A. Kaplan 0 0 0 0
Jason S. Kaplan 0 0 0 0
Robert S. Kaplan 0 0 0 0
Scott B. Kapnick 0 0 0 0
Erland S. Karlsson Sweden 0 0 0 0
James M. Karp 0 0 0 0
Richard Katz 0 0 0 0
Robert J. Katz 0 0 0 0
Sofia Katzap 0 0 0 0
David K. Kaugher 0 0 0 0
Tetsuya Kawano Japan 0 0 0 0
R. Mark Keating 0 0 0 0
John L. Kelly 0 0 0 0
Kevin W. Kennedy 0 0 0 0
Thomas J. Kenny 0 0 0 0
Lawrence S. Keusch 0 0 0 0
Rustom N. Khandalavala 0 0 0 0
Peter D. Kiernan III 0 0 0 0
James T. Kiernan, Jr. 0 0 0 0
Sun Bae Kim Canada 0 0 0 0
Douglas W. Kimmelman 0 0 0 0
Colin E. King Canada 0 0 0 0
Robert C. King, Jr. 0 0 0 0
Adrian P. Kingshott UK 0 0 0 0
Timothy M. Kingston 0 0 0 0
Lincoln Kinnicutt 0 0 0 0
Ewan M. Kirk UK 0 0 0 0
Daniel H. Klebes II 0 0 0 0
Michael K. Klingher 0 0 0 0
Craig A. Kloner 0 0 0 0
Jonathan R. Knight UK 0 0 0 0
</TABLE>
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 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>
Bradford C. Koenig 0 0 0 0
Mark J. Kogan 0 0 0 0
Stanley Kogelman 0 0 0 0
Jonathan L. Kolatch 0 0 0 0
Richard E. Kolman 0 0 0 0
David J. Kostin 0 0 0 0
Koji Kotaka Japan 0 0 0 0
Peter S. Kraus 0 15(9) 0 15(9)
Lawrence Kutscher 0 0 0 0
Christoph M. Ladanyi Austria 0 0 0 0
Peggy A. Lamb 0 0 0 0
David G. Lambert 0 0 0 0
Thomas K. Lane 0 0 0 0
Pierre F. Lapeyre, Jr. 0 0 0 0
Bruce M. Larson 0 0 0 0
Thomas D. Lasersohn 0 0 0 0
Anthony D. Lauto 0 0 0 0
John J. Lauto 0 0 0 0
Matthew Lavicka 0 0 0 0
David N. Lawrence 0 0 0 0
Peter Layton 0 0 0 0
Susan R. Leadem 0 0 0 0
Andrew D. Learoyd UK 0 0 0 0
Chang-Ho J. Lee USA/South Korea 0 0 0 0
Donald C. Lee 0 0 0 0
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Paulo C. Leme 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 0 0 0 0
Thomas B. Lewis, Jr. 0 0 0 0
Mark E. Leydecker 0 0 0 0
Matthew G. L'Heureux 0 0 0 0
Gwen R. Libstag 0 0 0 0
Stephen C. Lichtenauer 0 0 0 0
Roger A. Liddell UK 0 0 0 0
Richard J. Lieb 0 0 0 0
Mitchell J. Lieberman 0 0 0 0
Syaru Shirley Lin 0 0 0 0
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Robert Litterman 0 0 0 0
</TABLE>
----------------
(9) Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 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>
Robert H. Litzenberger 0 0 0 0
David McD A. Livingstone Australia 0 0 0 0
Douglas F. Londal 0 0 0 0
Jacques M. Longerstaey USA/Belgium 0 0 0 0
Jonathan M. Lopatin 0 0 0 0
Francisco Lopez-Balboa 0 0 0 0
Victor M. Lopez-Balboa 0 0 0 0
Antigone Loudiadis UK 0 0 0 0
C. Richard Lucy 0 0 0 0
Michael C. Luethke 0 0 0 0
Kevin L. Lundeen 0 0 0 0
Michael R. Lynch 0 0 0 0
Shogo Maeda Japan 0 0 0 0
John A. Mahoney 0 0 0 0
Sean O. Mahoney 0 0 0 0
Jun Makihara Japan 0 0 0 0
Russell E. Makowsky 0 0 0 0
Peter G. C. Mallinson UK 0 0 0 0
Kathleen M. Maloney 0 0 0 0
Charles G. R. Manby UK 0 0 0 0
Robert S. Mancini 0 0 0 0
Barry A. Mannis 0 0 0 0
Arthur S. Margulis, Jr. 0 0 0 0
Jorge O. Mariscal Mexico 0 0 0 0
Richard J. Markowitz 0 0 0 0
Ronald G. Marks 0 0 0 0
Robert J. Markwick UK 0 0 0 0
Eff W. Martin 0 0 0 0
Jacques Martin Canada 0 0 0 0
John J. Masterson 0 0 0 0
David J. Mastrocola 0 0 0 0
Kathy M. Matsui 0 0 0 0
Tadanori Matsumura Japan 0 0 0 0
Heinz Thomas Mayer Germany 0 0 0 0
Thomas J. McAdam 0 0 0 0
Richard F. McArdle 0 0 0 0
Theresa E. McCabe 0 0 0 0
Joseph M. McConnell 0 0 0 0
</TABLE>
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 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>
Mark E. McGoldrick 0 0 0 0
Joseph P. McGrath Jr. 0 0 0 0
Stephen J. McGuinness 0 0 0 0
John C. McIntire 0 0 0 0
John W. McMahon 0 0 0 0
Geraldine F. McManus 0 0 0 0
Richard P. McNeil Jamaica 0 0 0 0
Audrey A. McNiff 0 0 0 0
Anne Welsh McNulty 0 0 0 0
John P. McNulty 0 0 0 0
E. Scott Mead 0 0 0 0
David M. Meerschwam The Netherlands 0 0 0 0
Sanjeev K. Mehra India 0 0 0 0
Michael C. Melignano 0 0 0 0
Amos Meron 0 0 0 0
T. Willem Mesdag 0 0 0 0
Andrew L. Metcalfe UK 0 0 0 0
Michael R. Miele 0 0 0 0
Gunnar T. Miller 0 0 0 0
Kenneth A. Miller 0 0 0 0
Therese L. Miller 0 0 0 0
James E. Milligan 0 0 0 0
Eric M. Mindich 0 0 0 0
Peter A. Mindnich 0 0 0 0
Edward S. Misrahi Italy 0 0 0 0
Steven T. Mnuchin 0 0 0 0
Kurt C. Mobley 0 0 0 0
Masanori Mochida Japan 135,428 0 135,428 0
Karsten N. Moller Denmark 0 0 0 0
Thomas K. Montag 0 0 0 0
Wayne L. Moore 0 0 0 0
Yukihiro Moroe Japan 0 0 0 0
Robert B. Morris III 0 0 0 0
Michael P. Mortara 0 0 0 0
Jennifer Moses 0 0 0 0
Jeffrey M. Moslow 0 0 0 0
</TABLE>
14
<PAGE> 15
<TABLE>
<CAPTION>
ITEM 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>
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 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 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>
Robert J. O'Shea 0 0 0 0
Joel D. Ospa 0 0 0 0
Greg M. Ostroff 0 0 0 0
Terence M. O'Toole 0 0 0 0
Robert J. Pace 0 0 0 0
Robert N. Packer 0 0 0 0
Gregory K. Palm 0 0 0 0
Mukesh K. Parekh 0 0 0 0
Geoffrey M. Parker 0 0 0 0
Melissa B. Patrusky 0 0 0 0
Henry M. Paulson, Jr. 0 0 0 0
David B. Philip 0 0 0 0
Paul A. Phillips 0 0 0 0
Alberto M. Piedra, Jr. 0 0 0 0
Stephen R. Pierce 0 0 0 0
Philip J. Pifer 0 0 0 0
Scott M. Pinkus 0 0 0 0
Timothy C. Plaut Germany 0 0 0 0
Andrea Ponti Italy/USA 0 0 0 0
Ellen R. Porges 0 0 0 0
Wiet H. M. Pot The Netherlands 0 0 0 0
Michael J. Poulter UK 0 0 0 0
John J. Powers 0 0 0 0
Richard H. Powers 0 0 0 0
Michael A. Price 0 0 0 0
Scott S. Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 1,000(10) 0 1,000(10)
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
John J. Rafter Ireland 0 0 0 0
Jonathan Raleigh 0 0 0 0
Dioscoro-Roy I. Ramos Phillippines 0 0 0 0
Gregory G. Randolph 0 0 0 0
Charlotte P. Ransom UK 0 0 0 0
Michael G. Rantz 0 0 0 0
Joseph Ravitch 0 0 0 0
Girish V. Reddy 0 0 0 0
Arthur J. Reimers III 0 0 0 0
Anthony John Reizenstein UK 0 0 0 0
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John Rizner 0 0 0 0
Simon M. Robertson UK 0 0 0 0
</TABLE>
----------------
(10) Shared with family members.
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 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>
J. David Rogers 0 0 0 0
John F. W. Rogers 0 0 0 0
Emmanuel Roman France 0 0 0 0
Eileen P. Rominger 0 0 0 0
Pamela P. Root 0 0 0 0
Ralph F. Rosenberg 0 0 0 0
Jacob D. Rosengarten 0 0 0 0
Richard J. Rosenstein 0 0 0 0
Ivan Ross 0 0 0 0
Stuart M. Rothenberg 0 0 0 0
Stuart R. Rubenstein 0 0 0 0
Michael S. Rubinoff 0 0 0 0
Ernest H. Ruehl, Jr. 0 0 0 0
Paul M. Russo 0 0 0 0
Richard M. Ruzika 0 0 0 0
John C. Ryan 0 0 0 0
Michael D. Ryan 0 0 0 0
Katsunori Sago Japan 0 0 0 0
Pablo J. Salame Ecuador 0 0 0 0
J. Michael Sanders 0 0 0 0
Allen Sangines-Krause Mexico 0 0 0 0
Richard A. Sapp 0 0 0 0
Joseph Sassoon Israel 0 0 0 0
Tsutomu Sato Japan 240 0 240 0
Muneer A. Satter 0 0 0 0
Jonathan S. Savitz 0 0 0 0
Peter Savitz 0 0 0 0
Paul S. Schapira Italy 0 0 0 0
P. Sheridan Schechner 1,000 0 1,000 0
Gary B. Schermerhorn 0 0 0 0
Mitchell I. Scherzer Canada 0 0 0 0
Howard B. Schiller 0 0 0 0
Jeffrey W. Schroeder 0 0 0 0
Antoine Schwartz France 0 0 0 0
Eric S. Schwartz 0 0 0 0
Harvey M. Schwartz 0 0 0 0
Mark Schwartz 0 0 0 0
Steven M. Scopellite 0 0 0 0
David J. Scudellari 0 0 0 0
Charles B. Seelig, Jr. 0 0 0 0
Karen D. Seitz 0 0 0 0
Randolph Sesson, Jr. 0 0 0 0
Steven M. Shafran 0 0 0 0
</TABLE>
17
<PAGE> 18
<TABLE>
<CAPTION>
ITEM 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>
Richard S. Sharp UK 0 0 0 0
John P. Shaughnessy 0 0 0 0
Robert J. Shea, Jr. 0 0 0 0
James M. Sheridan 0 0 0 0
Richard G. Sherlund 0 0 0 0
Michael S. Sherwood UK 0 0 0 0
Michael H. Siegel 0 0 0 0
Howard A. Silverstein 0 0 0 0
Richard P. Simon 0 0 0 0
Victor R. Simone, Jr. 0 0 0 0
Dinakar Singh 0 0 0 0
Ravi M. Singh 0 0 0 0
Ravi Sinha India/USA 0 0 0 0
Allen W. Sinsheimer 0 0 0 0
Edward M. Siskind 0 0 0 0
Christian J. Siva-Jothy UK 0 0 0 0
Mark F. Slaughter 0 0 0 0
Linda J. Slotnick 0 0 0 0
Cody J Smith 0 0 0 0
Derek S. Smith 0 0 0 0
Michael M. Smith 0 0 0 0
Sarah E. Smith UK 0 0 0 0
Trevor A. Smith UK 0 0 0 0
Randolph C. Snook 0 0 0 0
Jonathan S. Sobel 0 0 0 0
David M. Solomon 0 0 0 0
Judah C. Sommer 0 0 0 0
Theodore T. Sotir 0 0 0 0
Daniel L. Sparks 0 0 0 0
Marc A. Spilker 0 0 0 0
Daniel W. Stanton 0 0 0 0
Esta E. Stecher 0 0 0 0
Fredric E. Steck 0 0 0 0
Robert K. Steel 0 0 0 0
Robert S. Stellato 0 0 0 0
Joseph P. Stevens 0 0 0 0
Raymond S. Stolz 0 0 0 0
Steven H. Strongin 0 0 0 0
Andrew J. Stuart Australia 0 0 0 0
</TABLE>
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 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>
Patrick Sullivan 0 0 0 0
Hsueh J. Sung Taiwan 0 0 0 0
George M. Suspanic Spain 0 0 0 0
Peter D. Sutherland Ireland 0 0 0 0
Andrew M. Swinburne UK 0 0 0 0
Gene T. Sykes 0 0 0 0
Shahriar Tadjbakhsh 0 0 0 0
Ronald K. Tanemura UK/USA 0 0 0 0
John H. Taylor 0 0 0 0
Robert E. Taylor 0 0 0 0
Greg W. Tebbe 0 0 0 0
Kiyotaka Teranishi 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 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 A. Viniar 0 0 0 0
Barry S. Volpert 0 0 0 0
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
Berent A. Wallendahl Norway 0 0 0 0
David R. Walton UK 0 0 0 0
Hsueh-Ming Wang 0 0 0 0
Patrick J. Ward 0 0 0 0
Haruko Watanuki Japan 0 0 0 0
Edward F. Watts, Jr. 0 300(11) 0 300(11)
David M. Weil 0 0 0 0
John S. Weinberg 0 0 0 0
Peter A. Weinberg 0 0 0 0
Helge Weiner-Trapness Sweden 0 0 0 0
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 0 0 0 0
Bradley W. Wendt 0 0 0 0
Lance N. West 0 0 0 0
Peter Wheeler UK 0 0 0 0
Barbara A. White 0 0 0 0
A. Carver Wickman 0 0 0 0
Susan A. Willetts 0 0 0 0
Anthony G. Williams UK 0 0 0 0
Christopher G. Williams UK 0 0 0 0
Gary W. Williams 0 0 0 0
Todd A. Williams 0 0 0 0
John S. Willian 0 0 0 0
Kenneth W. Willman 0 0 0 0
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New Zealand 0 0 0 0
Kendrick R. Wilson III 0 0 0 0
Jon Winkelried 0 0 0 0
Steven J. Wisch 0 0 0 0
Michael S. Wishart 0 0 0 0
Richard E. Witten 0 0 0 0
William H. Wolf, Jr. 0 0 0 0
Tracy R. Wolstencroft 0 0 0 0
Zi Wang Xu Canada/China 0 0 0 0
(PRC)
Richard A. Yacenda 0 0 0 0
Tetsufumi Yamakawa Japan 0 0 0 0
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
Xiang-Dong Yang China (PRC) 0 0 0 0
</TABLE>
---------------
(11) Shared with family members.
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 6 ITEM 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>
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 35(12) 0 35(12)
Paolo Zannoni Italy 0 0 0 0
Yoel Zaoui France 0 0 0 0
Gregory H. Zehner 0 0 0 0
Jide J. Zeitlin 0 0 0 0
Joan H. Zief 0 0 0 0
Joseph R. Zimmel 0 0 0 0
James P. Ziperski 0 0 0 0
Barry L. Zubrow 0 0 0 0
Mark A. Zurack 0 0 0 0
Shares held by 92 private N/A 0 1,587,508 0 1,587,508
charitable foundations
established by 92 Covered
Persons each of whom is a
co-trustee of one or more of
such private charitable
foundations(13)
</TABLE>
----------------------
12 Shared with family members.
13 Each Covered Person disclaims beneficial ownership of all such shares of
Common Stock.
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 Jun Makihara 2000 Family
Trust 0 0 0 0
The Karen Barlow Corrigan
2000 Trust 0 0 0 0
The Karen Rebecca Alper 2000
Trust 0 0 0 0
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
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 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
Randal M.
Fippinger-Millennium
Trust 0 0 0 0
The Randolph L. Cowen 2000
Family Trust 0 0 0 0
Rayas Trust Jersey 0 0 0 0
The Rebecca Viniar 2000 Trust 0 0 0 0
The Richard A. Friedman 2000
Annuity Trust I 0 0 0 0
The Richard A. Friedman 2000
Family Trust 0 0 0 0
The Richard A. Sapp 2000
Annuity Trust I 0 0 0 0
The Richard A. Sapp 2000
Family Trust 0 0 0 0
The Richard E. Witten 2000
Annuity Trust I 0 0 0 0
The Richard G. Sherlund 2000
Annuity Trust I 0 0 0 0
Robert A. Fippinger,
Jr.-Millennium Trust 0 0 0 0
The Robert B. Litterman 2000
Annuity Trust I 0 0 0 0
The Robert B. Litterman 2000
Family Trust 0 0 0 0
The Robert B. Morris III
2000 Annuity Trust I 0 0 0 0
The Robert J. Hurst 2000
Annuity Trust I 0 0 0 0
The Robert J. Hurst 2000
Family Trust 0 0 0 0
The Robert J. Katz 2000
Annuity Trust I 0 0 0 0
The Robert J. O Shea 2000
Annuity Trust I 0 0 0 0
The Robert J. O Shea 2000
Family Trust 0 0 0 0
The Robert J. Pace 2000
Annuity Trust I 0 0 0 0
The Robert J. Pace 2000
Family Trust 0 0 0 0
The Robert K. Steel 2000
Annuity Trust I 0 0 0 0
The Robert B. Morris III
2000 Family Trust 0 0 0 0
The Robin Neustein 2000
Annuity Trust I 0 0 0 0
</TABLE>
32
<PAGE> 33
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
The Samantha Schiller 2000
Trust 0 0 0 0
The Sarah B. Lopatin 2000
Trust 0 0 0 0
The Sarah Delacy Kiernan
2000 Trust 0 0 0 0
The Sarah M. Darivoff 2000
Trust 0 0 0 0
The Sarah Rose Berlinski
2000 Trust 0 0 0 0
The Scott B. Kapnick 2000
Annuity Trust I 0 0 0 0
The Scott B. Kapnick 2000
Family Trust 0 0 0 0
Scott M. Pinkus 2000 Family
Trust New Jersey 0 0 0 0
Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0
The Scott S. Prince Trust 0 0 0 0
The Stephen M. Neidich 2000
Trust 0 0 0 0
The Steven M. Heller, Jr.
2000 Trust 0 0 0 0
The Steven T. Mnuchin 2000
Annuity Trust I 0 0 0 0
The Steven T. Mnuchin 2000
Family Trust 0 0 0 0
The Stuart Mark Rothenberg
2000 Annuity Trust I 0 0 0 0
The Stuart Mark Rothenberg
2000 Family Trust 0 0 0 0
The Terence M. O Toole 2000
Annuity Trust I 0 0 0 0
The Terence M. O Toole 2000
Family Trust 0 0 0 0
The Tess Augusta Linden 2000
Trust 0 0 0 0
The Thomas K. Montag 2000
Annuity Trust I 0 0 0 0
The Thomas K. Montag 2000
Family Trust 0 0 0 0
The Tracy Richard
Wolstencroft 2000
Annuity Trust I 0 0 0 0
</TABLE>
33
<PAGE> 34
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
The Tracy Richard
Wolstencroft 2000 Family
Trust 0 0 0 0
Trust for the benefit of
David Ford, Jr. under
Indenture of Trust B of
David B. Ford dated
6/16/00 Pennsylvania 0 0 0 0
Trust for the benefit of
Jamie Ford under
Indenture of Trust B of
David B Ford dated as of
6/16/00 Pennsylvania 0 0 0 0
Vyrona Trust Jersey 0 0 0 0
The Walter H. Haydock 2000
Annuity Trust I 0 0 0 0
The Walter H. Haydock, Jr.
2000 Trust 0 0 0 0
The William C. Sherlund 2000
Trust 0 0 0 0
The William Keith
Litzenberger 2000
Grantor Retained Annuity
Trust 0 0 0 0
The William Keith
Litzenberger Remainder
Trust 0 0 0 0
The Zachariah Cobrinik 2000
Annuity Trust I 0 0 0 0
The Zachariah Cobrinik
Family 2000 Trust 0 0 0 0
PARTNERSHIPS
ALS Investment Partners, L.P. Delaware 0 0 0 0
Beech Associates, L.P. Delaware 0 0 0 0
Crestley, L.P. Delaware 0 0 0 0
Daniel G. Brennan Family
Limited Partnership Illinois 0 0 0 0
Greenley Partners, L.P. Delaware 0 0 0 0
HEMPA Limited Partnership Delaware 0 0 0 0
JSS Investment Partners, L.P. Delaware 0 0 0 0
Mesdag Family Limited
Partnership Delaware 0 0 0 0
</TABLE>
34
<PAGE> 35
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 10
ORGANIZATION ITEM 7 SHARED
(NEW YORK 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>
Mijen Family Partnership Illinois 0 0 0 0
Opatrny Investment Partners,
L.P. Delaware 0 0 0 0
Rantz GS Investment
Partners, L.P. Delaware 0 0 0 0
Savitz Investment Partners,
L.P. Delaware 0 0 0 0
The Litzenberger Family
Limited Partnership Delaware 0 0 0 0
The Rizner Family Limited
Partnership Illinois 0 0 0 0
Trott GS Investment
Partners, L.P. Delaware 0 0 0 0
Tuft GS Investment Partners,
L.P. Delaware 0 0 0 0
Windy Hill Investment
Company II, L.P. Delaware 0 0 0 0
Winkelried Investment
Partners, L.P. Delaware 0 0 0 0
CORPORATIONS
Anahue Limited Jersey 0 0 0 0
Guapulo Holdings Ltd Jersey 0 0 0 0
HJS2 Limited Cayman Islands 0 0 0 0
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. 3 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. 3 is being filed principally because on June 26, 2000,
certain Covered Persons transferred Covered Shares to estate planning vehicles,
which became parties to the Shareholders' Agreement referred to in Item 2 below.
Item 1. Security and Issuer
This Schedule relates to the Common Stock, par value $.01 per share
(the "Common Stock"), of The Goldman Sachs Group, Inc., a Delaware corporation
(together with its subsidiaries and affiliates, "GS Inc."). The address of the
principal executive offices of GS Inc. is 85 Broad Street, New York, New York
10004.
Item 2. Identity and Background
(a), (b), (c), (f) The cover page to this Schedule and Appendix A
hereto contain the names of the persons ("Covered Persons") who beneficially own
Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as
of May 7, 1999, to which the Covered Persons are party (as amended from time to
time, the "Shareholders' Agreement"). This filing is being made on behalf of all
of the Covered Persons, and their agreement that this filing may be so made is
contained in the Shareholders' Agreement.
This Schedule contains certain information relating to Sumitomo Bank
Capital Markets, Inc. ("SBCM") and Kamehameha Activities Association ("KAA"),
who may be deemed to be members of a "group" with the Covered Persons. Each
Covered Person hereby disclaims beneficial ownership of the shares of Common
Stock and other equity securities of GS Inc. subject to the Voting Agreements
between SBCM and KAA, respectively, on the one hand, and GS Inc., on the other
hand (respectively, the "SBCM Shares" and the "KAA Shares"). All information
contained in this Schedule relating to SBCM and KAA has been included based upon
information provided by SBCM and KAA; the separate Schedules 13D filed by SBCM
and KAA and any amendments thereto should be referred to for information
relating to SBCM and KAA.
Appendix A hereto also provides the citizenship 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. 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 Persons 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.")
acquired certain Covered Shares in exchange for their interests in Group L.P.
and certain of its affiliates and
36
<PAGE> 37
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; and (iv) 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,
acquired the Covered Shares in connection with the succession of GS Inc. to the
business of Group L.P. and GS Inc.'s initial public offering and through certain
employee compensation, benefit or similar plans of GS Inc. The Hull Covered
Persons acquired the Covered Shares in connection with the acquisition by GS
Inc. of Hull and through certain employee compensation, benefit or similar plans
of GS Inc. The Estate Planning Covered Persons acquired the Covered Shares as
contributions or gifts made for estate planning purposes by Individual Covered
Persons, and the provisions of the organizational documents of certain Estate
Planning Covered Persons provide for the distribution of Common Stock to certain
other Covered Persons. As a condition to the contribution or gift of the Covered
Shares, the Shareholders' Committee required that each Estate Planning Covered
Person agree to become a party to the Shareholders' Agreement and to be bound by
the Partner Transfer Restrictions referred to in Item 6 below.
Covered Persons may from time to time acquire Uncovered Shares for
investment purposes. Except as described in Item 6 and except for the
acquisition by Covered Persons of Common Stock pursuant to employee
compensation, benefit or similar plans of GS Inc. in the future or as described
above, none of the Covered Persons has any plans or proposals which relate to or
would result in their acquisition of additional Common Stock or any of the other
events described in Item 4(a) through 4(j).
Each Covered Person is expected to evaluate on an ongoing basis GS
Inc.'s financial condition and prospects and his or her interests in and with
respect to GS Inc. Accordingly, each Covered Person may change his or her plans
and intentions at any time and from time to time. In particular, each Covered
Person may at any time and from time to time acquire or dispose of shares of
Common Stock.
Item 5. Interest in Securities of the Issuer
(a) Rows (11) and (13) of the cover page to this Schedule, 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 C, none of the shares of Common Stock
reported in rows (11) and (13) of the cover page to this Schedule and Appendix A
are shares as to which there is a right to acquire exercisable within 60 days.
(b) Rows (7) through (10) of the cover page to this Schedule, 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 D, no Covered Person has effected any
transactions in Common Stock since June 21, 2000, the date of the most recent
filing on Schedule 13D by the Covered Persons.
(d), (e) Not applicable.
37
<PAGE> 38
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 and certain Hull 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 former profit participating limited partners active
in the business of Group L.P. in exchange for their interests in Group L.P. and
certain of its affiliates; shares of Common Stock acquired by the Hull Covered
Persons in exchange for their interests in Hull; shares of Common Stock acquired
or to be acquired through the grant of restricted stock units, stock options and
interests in a defined contribution plan (except for certain Uncovered Shares as
specified in Appendix A); shares of Common Stock acquired or to be acquired by
Estate Planning Covered Persons from Individual Covered Persons for estate
planning purposes and shares of Common Stock to be distributed by Estate
Planning Covered Persons to Individual Covered Persons or to other Estate
Planning Covered Persons; and, unless otherwise determined by the board of
directors and the Shareholders' Committee, any shares of Common Stock acquired
or to be acquired by the Covered Persons from GS Inc. through any other employee
compensation, benefit or similar plan. Covered Shares do not include any shares
of Common Stock purchased or to be purchased by a Covered Person in the open
market or in a subsequent underwritten public offering.
TRANSFER RESTRICTIONS
Each Individual Covered Person has agreed in the Shareholders'
Agreement, among other things, to retain beneficial ownership of Covered Shares
at least equal to 25% of the cumulative number of Covered Shares beneficially
owned by him or her at the time he or she became a Covered Person or acquired by
him or her thereafter and with no credit for dispositions (the "General Transfer
Restrictions") for so long as he or she is a Covered Person and an employee of
GS Inc. (an "Employee Covered Person").
The former profit participating limited partners active in the business
of Group L.P. will also be subject to limitations on their ability to transfer
Covered Shares received in connection with the succession of GS Inc. to the
business of Group L.P. These restrictions will also apply to the Covered Shares
acquired by the Hull Covered Persons in exchange for their interests in Hull.
Under these restrictions, each such former profit participating limited partner
and Hull Covered Person has agreed not to transfer such Covered Shares until May
7, 2002, the third anniversary of the date of GS Inc.'s initial public offering
of its Common Stock (the "Partner Transfer Restrictions" and, together with the
General Transfer Restrictions, the "Transfer Restrictions"). The Partner
Transfer Restrictions will lapse as to such Covered Shares in equal installments
on each of May 7, 2002, May 7, 2003 and May 7, 2004. The Covered Shares held by
Estate Planning Covered Persons are subject to the same Partner Transfer
Restrictions that applied to such Covered Shares prior to the contribution or
gift. The 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 on the condition that each Estate Planning
Covered Person agree to become a party to the Shareholders' Agreement and to be
bound by the Partner Transfer Restrictions.
38
<PAGE> 39
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 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.
39
<PAGE> 40
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 profit participating limited partner who was active in the
business of Group L.P. on May 7, 1999 has pledged (the "IPO Pledge") to GS Inc.
Common Stock or other assets with an initial value equal to $15 million for each
such person who initially serves on the board of directors, the Management
Committee or the Partnership Committee of GS Inc. and $10 million for each other
such person. This pledge secures the liquidated damages provision of a
noncompetition agreement which each such person has entered into with GS Inc.
The form of agreement relating to noncompetition and other covenants and the
form of pledge agreement are filed as exhibits to this Schedule and the
foregoing summary of these agreements is qualified in its entirety by reference
thereto.
In addition, Masanori Mochida, a Covered Person, has pledged 135,428
shares of Common Stock (all of which are Uncovered Shares) to GS Inc. as
security for a loan made by Group L.P. to him. The pledge agreement relating to
such 135,428 shares is filed as an exhibit to this Schedule and the foregoing
summary of this agreement 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 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
In connection with the donation of shares of Common Stock to charitable
organizations discussed in footnote 4 on the cover page to this Schedule, GS
Inc. entered into a Registration Rights Instrument and Supplemental Registration
Rights Instrument. The following is a description of the Registration Rights
Instrument, as supplemented. The Registration Rights Instrument and the
Supplemental Registration Rights Instrument are filed as Exhibits to this
Schedule, and the following summary of these agreements is qualified in its
entirety by reference thereto.
Pursuant to the Registration Rights Instrument, as supplemented, GS
Inc. has agreed to register the donated shares of Common Stock for resale by
charitable foundations and public charities. GS Inc. has agreed in the
Registration Rights Instrument, as supplemented, to pay all of the fees and
expenses relating to the offering by the charitable organizations, other than
any agency fees and commissions or underwriting commissions or discounts or any
transfer taxes incurred by the charitable organizations in connection with their
resales. GS Inc. also has agreed to indemnify the charitable organizations
against certain liabilities, including those arising under the Securities Act of
1933.
GS Inc. may amend the Registration Rights Instrument and the
Supplemental Registration Rights Instrument in any matter that it deems
appropriate, without the consent of any charitable organization. However, GS
40
<PAGE> 41
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.
41
<PAGE> 42
Item 7. Material to be Filed as Exhibits
Exhibit Description
------- -----------
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (incorporated by reference to
Exhibit 10.21 to the registration statement on Form S-1
(File No. 333-74449) filed by The Goldman Sachs Group,
Inc.).
F. Pledge Agreement, dated May 5, 1999, between Masanori
Mochida and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit F to the Initial Schedule 13D).
G. Registration Rights Instrument (incorporated by reference to
Exhibit G to Amendment No. 1 to the Initial Schedule 13D,
filed December 17, 1999 (File No. 005-56295)).
H. Supplemental Registration Rights Instrument (incorporated by
reference to Exhibit H to Amendment No. 1 to the Initial
Schedule 13D, filed December 17, 1999 (File No. 005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (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.
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations.
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts.
N. Form of Guarantee and Pledge Agreement for non-U.S.
corporations.
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations.
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version).
Q. 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)).
42
<PAGE> 43
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>
43
<PAGE> 44
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
44
<PAGE> 45
ANNEX C
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS
SBCM holds 7,440,362 shares of Nonvoting Common Stock which, although
immediately convertible into Common Stock, cannot currently be converted by SBCM
due to restrictions imposed under the Bank Holding Company Act of 1956, as
amended.
45
<PAGE> 46
ANNEX D
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED
SINCE JUNE 21, 2000, THE DATE OF THE MOST RECENT FILING ON
SCHEDULE 13D BY THE COVERED PERSONS
On June 26, 2000, 15,082,114 Covered Shares were contributed or gifted to the
Estate Planning Covered Persons by 56 Individual Covered Persons. The transfer
restrictions were reimposed on such Covered Shares immediately upon the
completion of the contribution or gift.
Since June 21, 2000, the following sales of shares of Common Stock were made by
the following Covered Persons through ChaseMellon Financial 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>
Raanan A. Agus June 21, 2000 800 86.1693
-----------------------------------------------------------------------------------------------------------------
Dean C. Backer June 21, 2000 711 86.1693
-----------------------------------------------------------------------------------------------------------------
Jonathan A. Beinner June 21, 2000 800 86.1693
-----------------------------------------------------------------------------------------------------------------
Benjamin S. Bram June 21, 2000 1,290 86.1693
-----------------------------------------------------------------------------------------------------------------
John J. Bu June 21, 2000 1,680 86.1693
-----------------------------------------------------------------------------------------------------------------
Elizabeth V. Camp June 21, 2000 1,124 86.1693
-----------------------------------------------------------------------------------------------------------------
Mark M. Carhart June 21, 2000 1,849 86.1693
-----------------------------------------------------------------------------------------------------------------
Sacha A. Chiaramonte June 21, 2000 1,669 86.1693
-----------------------------------------------------------------------------------------------------------------
Noel B. Donohoe June 21, 2000 905 86.1693
-----------------------------------------------------------------------------------------------------------------
William C. Dudley June 21, 2000 1,000 86.1693
-----------------------------------------------------------------------------------------------------------------
Herbert E. Ehlers June 21, 2000 1,805 86.1693
-----------------------------------------------------------------------------------------------------------------
Edward K. Eisler June 21, 2000 2,608 86.1693
-----------------------------------------------------------------------------------------------------------------
Charles P. Eve June 21, 2000 1,671 86.1693
-----------------------------------------------------------------------------------------------------------------
Steven M. Feldman June 21, 2000 1,870 86.1693
-----------------------------------------------------------------------------------------------------------------
C. Douglas Fuge June 21, 2000 1,882 86.1693
-----------------------------------------------------------------------------------------------------------------
Shirley Fung June 21, 2000 2,811 86.1693
-----------------------------------------------------------------------------------------------------------------
Scott A. Gieselman June 21, 2000 1,996 86.1693
-----------------------------------------------------------------------------------------------------------------
Paul J. Huchro June 21, 2000 1,289 86.1693
-----------------------------------------------------------------------------------------------------------------
Terry P. Hughes June 21, 2000 1,000 86.1693
-----------------------------------------------------------------------------------------------------------------
Raymond J. Iwanowski June 21, 2000 1,851 86.1693
-----------------------------------------------------------------------------------------------------------------
Jason S. Kaplan June 21, 2000 1,793 86.1693
-----------------------------------------------------------------------------------------------------------------
Timothy M. Kingston June 21, 2000 1,343 86.1693
-----------------------------------------------------------------------------------------------------------------
Lincoln Kinnicutt June 21, 2000 1,000 86.1693
-----------------------------------------------------------------------------------------------------------------
Michael K. Klingher June 21, 2000 2,096 86.1693
-----------------------------------------------------------------------------------------------------------------
David J. Kostin June 21, 2000 2,186 86.1693
-----------------------------------------------------------------------------------------------------------------
Bruce M. Larson June 21, 2000 100 86.1693
-----------------------------------------------------------------------------------------------------------------
Anthony J. Leitner June 21, 2000 1,041 86.1693
-----------------------------------------------------------------------------------------------------------------
Mitchell J. Lieberman June 21, 2000 1,817 86.1693
-----------------------------------------------------------------------------------------------------------------
Douglas F. Londal June 21, 2000 1,748 86.1693
-----------------------------------------------------------------------------------------------------------------
C. Richard Lucy June 21, 2000 600 86.1693
-----------------------------------------------------------------------------------------------------------------
Kevin L. Lundeen June 21, 2000 962 86.1693
-----------------------------------------------------------------------------------------------------------------
Russell E. Makowsky June 21, 2000 825 86.1693
-----------------------------------------------------------------------------------------------------------------
Tadanori Matsumura June 21, 2000 1,183 86.1693
-----------------------------------------------------------------------------------------------------------------
John C. McIntire June 21, 2000 1,565 86.1693
-----------------------------------------------------------------------------------------------------------------
Andrew L. Metcalfe June 21, 2000 316 86.1693
-----------------------------------------------------------------------------------------------------------------
Michael R. Miele June 21, 2000 1,211 86.1693
-----------------------------------------------------------------------------------------------------------------
Kenneth A. Miller June 21, 2000 1,879 86.1693
-----------------------------------------------------------------------------------------------------------------
Richard A. Murley June 21, 2000 1,500 86.1693
-----------------------------------------------------------------------------------------------------------------
Jacob D. Rosengarten June 21, 2000 1,114 86.1693
-----------------------------------------------------------------------------------------------------------------
Ivan Ross June 21, 2000 600 86.1693
-----------------------------------------------------------------------------------------------------------------
</TABLE>
46
<PAGE> 47
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
-------------- ---------- ---------------- ---------------
<S> <C> <C> <C>
John P. Shaughnessy June 21, 2000 2,466 86.1693
-----------------------------------------------------------------------------------------------------------------
Richard P. Simon June 21, 2000 700 86.1693
-----------------------------------------------------------------------------------------------------------------
George M. Suspanic June 21, 2000 209 86.1693
-----------------------------------------------------------------------------------------------------------------
Greg W. Tebbe June 21, 2000 1,600 86.1693
-----------------------------------------------------------------------------------------------------------------
Stephen S. Trevor June 21, 2000 1,125 86.1693
-----------------------------------------------------------------------------------------------------------------
Donald J. Truesdale June 21, 2000 1,000 86.1693
-----------------------------------------------------------------------------------------------------------------
Harkanwar Uberoi June 21, 2000 1,427 86.1693
-----------------------------------------------------------------------------------------------------------------
John J. Vaske June 21, 2000 1,477 86.1693
-----------------------------------------------------------------------------------------------------------------
David R. Walton June 21, 2000 1,274 86.1693
-----------------------------------------------------------------------------------------------------------------
Helge Weiner-Trapness June 21, 2000 1,497 86.1693
-----------------------------------------------------------------------------------------------------------------
Bradley W. Wendt June 21, 2000 920 86.1693
-----------------------------------------------------------------------------------------------------------------
William H. Wolf, Jr. June 21, 2000 1,343 86.1693
-----------------------------------------------------------------------------------------------------------------
Tetsufumi Yamakawa June 21, 2000 1,176 86.1693
-----------------------------------------------------------------------------------------------------------------
Paul M. Young June 21, 2000 872 86.1693
-----------------------------------------------------------------------------------------------------------------
Steven M. Bunson June 22, 2000 892 85.8830
-----------------------------------------------------------------------------------------------------------------
Karlo J. Duvnjak June 22, 2000 2,234 85.8830
-----------------------------------------------------------------------------------------------------------------
John P. Heanue June 22, 2000 1,092 85.8830
-----------------------------------------------------------------------------------------------------------------
John L. Kelly June 22, 2000 1,869 85.8830
-----------------------------------------------------------------------------------------------------------------
John A. Mahoney June 22, 2000 2,681 85.8830
-----------------------------------------------------------------------------------------------------------------
Edward S. Misrahi June 22, 2000 400 85.8830
-----------------------------------------------------------------------------------------------------------------
Pablo J. Salame June 22, 2000 2,249 85.8830
-----------------------------------------------------------------------------------------------------------------
Raanan A. Agus June 23, 2000 403 84.9892
-----------------------------------------------------------------------------------------------------------------
Jay S. Nydick June 23, 2000 1,571 84.9892
-----------------------------------------------------------------------------------------------------------------
David B. Philip June 23, 2000 1,000 84.9892
-----------------------------------------------------------------------------------------------------------------
David J. Greenwald June 26, 2000 657 86.3153
-----------------------------------------------------------------------------------------------------------------
Andrew L. Metcalfe June 26, 2000 500 86.3153
-----------------------------------------------------------------------------------------------------------------
Edward S. Misrahi June 26, 2000 740 86.3153
-----------------------------------------------------------------------------------------------------------------
Thomas B. Tyree, Jr. June 26, 2000 1,680 86.3153
-----------------------------------------------------------------------------------------------------------------
</TABLE>
Since June 21, 2000, the following purchases of shares of Common Stock were made
by the following Covered Persons through Goldman, Sachs & Co. with cash on the
New York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
-------------- ---------- ---------------- ---------------
<S> <C> <C> <C>
Christopher J. June 21, 2000 100 88.00
Carrera
-----------------------------------------------------------------------------------------------------------------
Daniel M. Neidich June 21, 2000 22 88.00
-----------------------------------------------------------------------------------------------------------------
</TABLE>
47
<PAGE> 48
SIGNATURES
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
Dated: June 30, 2000
By: /s/ GREGORY K. PALM
--------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
48
<PAGE> 49
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit Description
------- -----------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999
(incorporated by reference to Exhibit A to the Schedule 13D
filed May 17, 1999 (File No. 005-56295) (the "Initial
Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among
The Goldman Sachs Group, Inc., The Sumitomo Bank, Limited
and Sumitomo Bank Capital Markets, Inc. (incorporated by
reference to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449)
filed by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (incorporated by reference to
Exhibit 10.21 to the registration statement on Form S-1
(File No. 333-74449) filed by The Goldman Sachs Group,
Inc.).
F. Pledge Agreement, dated May 5, 1999, between Masanori
Mochida and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit F to the Initial Schedule 13D).
G. Registration Rights Instrument (incorporated by reference to
Exhibit G to Amendment No. 1 to the Initial Schedule 13D,
filed December 17, 1999 (File No. 005-56295).
H. Supplemental Registration Rights Instrument (incorporated by
reference to Exhibit H to Amendment No. 1 to the Initial
Schedule 13D, filed December 17, 1999 (File No. 005-56295).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (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.
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations.
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts.
N. Form of Guarantee and Pledge Agreement for non-U.S.
corporations.
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations.
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version).
Q. Power of Attorney (incorporated by reference to Exhibit I to
Amendment No. 1 to the Initial Schedule 13D, filed
December 17, 1999 (File No. 005-56295)).
</TABLE>
49
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