<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 8
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
The Goldman Sachs Group, Inc.
---------------------
(Name of Issuer)
Common Stock, par value $.01 per share
---------------------------
(Title of Class of Securities)
38141G 10 4
---------------------
(CUSIP Number)
Gregory K. Palm
James B. McHugh
The Goldman Sachs Group, Inc.
85 Broad Street
New York, New York 10004
Telephone: (212) 902-1000
--------------------
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
September 22, 2000
--------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule
13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g),
check the following box [ ].
(Continued on following pages)
<PAGE> 2
<TABLE>
<CAPTION>
<S> <C>
------------------------
CUSIP NO. 38141G 10 4 13D
------------------------
---------------------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A.
----------------------------------------------------------------------------- ----- ---------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Persons(1) (a) [x]
As to a group consisting of persons other than Covered Persons (b) [x]
---------------------------------------------------------------------------------------------
3. SEC USE ONLY
---------------------------------------------------------------------------------------------
4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2)
(Applies to each person listed on Appendix A.)
---------------------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO [ ]
ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.)
---------------------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on
Appendix A.
---------------------------------------------------------------------------------------------
7. SOLE VOTING POWER (See Item 6)
NUMBER OF As to Covered Shares, 0
SHARES As to Uncovered Shares, as stated in Appendix A
BENEFICIALLY ------------------------------------------------------
OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to
REPORTING each person listed on Appendix A.)
PERSON 251,377,692 Covered Shares held by Covered Persons
WITH 4,991 Uncovered Shares held by Covered Persons(3)
1,458,217 Other Uncovered Shares held by Covered
Persons(4)
10,987,710 shares held by KAA(5)
16,243,610 shares held by SBCM(5)
------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Covered Shares, less than 1%
As to Uncovered Shares, as stated in Appendix A
------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6):
As to Covered Shares, 0
As to Uncovered Shares, as stated in Appendix A
---------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 252,840,900(6)
---------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [x](6)
(Applies to each person listed on Appendix A.)
---------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 55.7%(6)
---------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the
caption "Trusts"; PN as to persons listed in Appendix A under the caption
"Partnerships"; CO as to persons listed in Appendix A under the caption
"Corporations"; IN as to all other persons listed in Appendix A.
</TABLE>
---------------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 3.
(3) These are Uncovered Shares also described in Row 7 which each Covered
Person is deemed to beneficially own by application of Rule 13d-5(b)(1),
but do not include the Uncovered Shares described in note 4. Each Covered
Person disclaims beneficial ownership of Uncovered Shares held by each
other Covered Person.
(4) These are Uncovered Shares held by 88 private charitable foundations
established by 88 Covered Persons each of whom is a co-trustee of one or
more of such private charitable foundations and may be deemed to
beneficially own such Uncovered Shares. Each other Covered Person may be
deemed to beneficially own such Uncovered Shares by application of Rule
13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of
such Uncovered Shares, and each other Covered Person also disclaims
beneficial ownership of such Uncovered Shares.
(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.
2
<PAGE> 3
(6) Excludes 10,987,710 and 16,243,610 shares of Common Stock held by KAA and
SBCM, respectively, as to which each Covered Person disclaims beneficial
ownership.
3
<PAGE> 4
<TABLE>
<CAPTION>
APPENDIX A
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 0 0 0 0
Paul M. Achleitner Austria 0 0 0 0
Alberto F. Ades Argentina 0 0 0 0
Gregory A. Agran 0 0 0 0
Raanan A. Agus 0 0 0 0
Jonathan R. Aisbitt UK 0 0 0 0
Elliot M. Alchek 0 0 0 0
Andrew M. Alper 0 0 0 0
Philippe J. Altuzarra France 0 0 0 0
Lay Pheng Ang Singapore 0 0 0 0
Kazutaka P. Arai North Korea/ 0 0 0 0
South Korea
David M. Atkinson UK 0 0 0 0
Mitchel J. August 0 0 0 0
Armen A. Avanessians 0 0 0 0
Dean C. Backer 0 0 0 0
Michiel J. Bakker The 0 0 0 0
Netherlands
Mark E. Bamford 0 0 0 0
John S. Barakat 0 0 0 0
Barbara J. 0 0 0 0
Basser-Bigio
Carl-Georg Germany 0 0 0 0
Bauer-Schlichtegroll
David Baum 0 0 0 0
Patrick Y. Baune France 0 0 0 0
Robert A. Beckwitt 0 0 0 0
Jonathan A. Beinner 0 0 0 0
Ron E. Beller 0 0 0 0
Tarek M. Ben Halim Saudi Arabia 0 0 0 0
Kenneth Berents 0 0 0 0
Jaime I. Bergel Spain 0 0 0 0
Milton R. Berlinski The 0 0 0 0
Netherlands
Andrew S. Berman 0 0 0 0
Frances R. Bermanzohn 0 0 0 0
Stuart N. Bernstein 0 0 0 0
Robert A. Berry UK 0 0 0 0
Jean-Luc Biamonti Monaco 0 0 0 0
James J. Birch UK 0 0 0 0
Lloyd C. Blankfein 0 0 0 0
David W. Blood 0 0 0 0
Randall A. Blumenthal 0 0 0 0
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
David R. Boles 0 0 0 0
Antonio Borges Portugal 0 0 0 0
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
Charles C. Bradford III 0 0 0 0
Benjamin S. Bram 0 0 0 0
Thomas C. Brasco 0 0 0 0
Daniel G. Brennan 0 0 0 0
Peter L. Briger, Jr. 0 0 0 0
Craig W. Broderick 0 0 0 0
Richard J. Bronks UK 0 0 0 0
Charles K. Brown UK 0 0 0 0
James K. Brown 0 0 0 0
Peter D. Brundage 0 0 0 0
Sholom Bryski 0 0 0 0
John J. Bu 0 0 0 0
Lawrence R. Buchalter 0 0 0 0
Mark J. Buisseret UK 0 0 0 0
Steven M. Bunson 0 0 0 0
Timothy B. Bunting UK 0 0 0 0
Andrew J. Burke-Smith Canada 0 0 0 0
Calvert C. Burkhart 0 0 0 0
Michael S. Burton UK 0 0 0 0
George H. Butcher III 0 0 0 0
Mary D. Byron 0 0 0 0
Lawrence V. Calcano 0 0 0 0
Elizabeth V. Camp 0 0 0 0
John D. Campbell 0 0 0 0
Laurie G. Campbell Canada 0 0 0 0
Richard M. Campbell-Breeden UK 0 0 0 0
Carmine C. Capossela 0 0 0 0
Mark M. Carhart 0 0 0 0
Anthony H. Carpet 0 0 0 0
Michael J. Carr 0 0 0 0
Christopher J. Carrera 0 0 0 0
Virginia E. Carter 0 0 0 0
Calvin R. Carver, Jr. 0 0 0 0
Mary Ann Casati 0 0 0 0
Chris Casciato 0 0 0 0
Douglas W. Caterfino 0 0 0 0
Michael J. Certo 0 0 0 0
Varkki P. Chacko USA/India 0 0 0 0
David K. Chang Taiwan 0 0 0 0
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Thomas P. Chang 0 0 0 0
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
Robert J. Christie 0 0 0 0
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Abby Joseph Cohen 0 0 0 0
Lawrence H. Cohen 0 0 0 0
Marc I. Cohen 0 0 0 0
Gary D. Cohn 0 0 0 0
Christopher A. Cole 0 0 0 0
Timothy J. Cole 0 0 0 0
Laura C. Conigliaro 0 0 0 0
Liam Connell 0 0 0 0
Thomas G. Connolly Ireland/USA 0 0 0 0
Frank T. Connor 0 0 0 0
Donna L. Conti 0 0 0 0
Karen R. Cook UK 0 0 0 0
Edith W. Cooper 0 0 0 0
Philip A. Cooper 0 0 0 0
Carlos A. Cordeiro 0 0 0 0
Henry Cornell 0 0 0 0
E. Gerald Corrigan 0 0 0 0
Jon S. Corzine 0 0 0 0
Claudio Costamagna Italy 0 0 0 0
Frank L. Coulson, Jr. 0 0 0 0
Kenneth Courtis 0 0 0 0
Randolph L. Cowen 0 0 0 0
Neil D. Crowder 0 0 0 0
Eduardo A. Cruz 0 0 0 0
John P. Curtin, Jr. 0 0 0 0
John W. Curtis 0 0 0 0
Stephen C. Daffron 0 0 0 0
John S. Daly Ireland 0 0 0 0
Philip M. Darivoff 0 0 0 0
Matthew S. Darnall 0 0 0 0
Timothy D. Dattels Canada 0 0 0 0
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Gavyn Davies UK 0 0 0 0
Michael G. De Lathauwer Belgium 0 0 0 0
David A. Dechman 0 0 0 0
Mark Dehnert 0 0 0 0
Paul C. Deighton UK 0 0 0 0
James Del Favero Australia 0 0 0 0
Juan A. Del Rivero Spain 0 0 0 0
Robert V. Delaney, Jr. 0 0 0 0
Joseph Della Rosa 0 0 0 0
Emanuel Derman 0 0 0 0
Martin R. Devenish UK 0 0 0 0
Andrew C. Devenport UK 0 0 0 0
Stephen D. Dias UK 0 0 0 0
Armando A. Diaz 0 0 0 0
Alexander C. Dibelius Germany 0 0 0 0
Paul M. DiNardo 0 0 0 0
Simon P. Dingemans UK 0 0 0 0
Sandra D'Italia 0 0 0 0
Michele I. Docharty 0 0 0 0
Paula A. Dominick 0 0 0 0
Noel B. Donohoe Ireland 0 0 0 0
Jana Hale Doty 0 0 0 0
Robert G. Doumar, Jr. 0 0 0 0
Thomas M. Dowling 0 0 0 0
John O. Downing 0 0 0 0
Michael B. Dubno 0 0 0 0
Connie K. Duckworth 0 0 0 0
William C. Dudley 0 0 0 0
Brian J. Duffy 0 0 0 0
Matthieu B. Duncan 0 0 0 0
C. Steven Duncker 0 0 0 0
Karlo J. Duvnjak Canada 0 0 0 0
Jay S. Dweck 0 0 0 0
Gordon E. Dyal 0 0 0 0
Isabelle Ealet France 0 0 0 0
Glenn P. Earle UK 0 0 0 0
Paul S. Efron 0 0 0 0
Herbert E. Ehlers 0 0 0 0
Alexander S. Ehrlich 0 0 0 0
John E. Eisenberg 0 0 0 0
Edward K. Eisler Austria 0 0 0 0
Jason H. Ekaireb UK 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Glenn D. Engel 0 0 0 0
Davide G. Erro Italy 0 0 0 0
Michael P. Esposito 0 0 0 0
George C. Estey Canada 0 0 0 0
Mark D. Ettenger 0 0 0 0
Bruce J. Evans 0 0 0 0
J. Michael Evans Canada 0 0 0 0
W. Mark Evans Canada 0 0 0 0
Charles P. Eve UK 0 0 0 0
Brian F. Farr 0 0 0 0
Elizabeth C. Fascitelli 0 0 0 0
Jeffrey F. Fastov 0 0 0 0
Pieter Maarten Feenstra The 0 0 0 0
Netherlands
Steven M. Feldman 0 0 0 0
Laurie R. Ferber 0 0 0 0
Robert P. Fisher, Jr. 0 0 0 0
Lawton W. Fitt 0 0 0 0
Stephen C. Fitzgerald Australia 0 0 0 0
Thomas M. Fitzgerald III 0 0 0 0
Daniel M. Fitzpatrick 0 0 0 0
James A. Fitzpatrick 0 0 0 0
David N. Fleischer 0 0 0 0
David B. Ford 0 0 0 0
Edward C. Forst 0 0 0 0
George B. Foussianes 0 0 0 0
Oliver L. Frankel 0 0 0 0
Matthew T. Fremont-Smith 0 0 0 0
Christopher G. French UK 0 0 0 0
Richard A. Friedman 0 0 0 0
Matthias K. Frisch Switzerland 0 0 0 0
C. Douglas Fuge 0 0 0 0
Shirley Fung UK 0 0 0 0
Joseph D. Gatto 0 0 0 0
Emmanuel Gavaudan France 0 0 0 0
Nicholas J. Gaynor UK 0 0 0 0
Eduardo B. Gentil 0 0 0 0
Peter C. Gerhard 0 0 0 0
Nomi P. Ghez Israel/USA 0 0 0 0
Scott A. Gieselman 0 0 0 0
H. John Gilbertson, Jr. 0 0 0 0
</TABLE>
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Jeffrey B. Goldenberg 0 2,860(7) 0 2,860(7)
Jacob D. Goldfield 0 0 0 0
James S. Golob 0 0 0 0
Amy O. Goodfriend 0 0 0 0
Jay S. Goodgold 0 0 0 0
Andrew M. Gordon 0 0 0 0
Anthony J. Gordon 0 0 0 0
Robert D. Gottlieb 0 0 0 0
Frank J. Governali 0 0 0 0
Lorenzo Grabau Italy 0 0 0 0
Geoffrey T. Grant 0 0 0 0
William M. Grathwohl 0 0 0 0
David J. Greenwald 0 0 0 0
Louis S. Greig UK 0 0 0 0
Peter W. Grieve 0 0 0 0
Christopher Grigg UK 0 0 0 0
Douglas C. Grip 0 0 0 0
Eric P. Grubman 0 0 0 0
Celeste A. Guth 0 0 0 0
Joseph D. Gutman 0 0 0 0
Erol Hakanoglu Turkey 0 0 0 0
Roger C. Harper 0 0 0 0
Charles T. Harris III 0 0 0 0
Robert S. Harrison 0 0 0 0
Shelley A. Hartman 0 0 0 0
Paul R. Harvey 0 0 0 0
Arthur J. Hass 0 0 0 0
Nobumichi Hattori Japan 0 0 0 0
Stephen J. Hay UK 0 0 0 0
Walter H. Haydock 0 0 0 0
Isabelle Hayen Belgium 0 0 0 0
Keith L. Hayes UK 0 0 0 0
Thomas J. Healey 0 0 0 0
John P. Heanue 0 0 0 0
Robert C. Heathcote UK 0 0 0 0
</TABLE>
---------------------------------
(7) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Sylvain M. Hefes France 0 0 0 0
David B. Heller 0 0 0 0
Steven M. Heller 0 0 0 0
R. Douglas Henderson 0 0 0 0
David L. Henle 0 0 0 0
Mary C. Henry 0 0 0 0
Raimund W. Herden Germany 0 0 0 0
Bruce A. Heyman 0 0 0 0
Robert E. Higgins 0 0 0 0
Joanne M. Hill 0 0 0 0
M. Roch Hillenbrand 0 0 0 0
Maykin Ho 0 0 0 0
Timothy E. Hodgson Canada 0 0 0 0
Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0
Christopher G. Hogg New 0 0 0 0
Zealand/USA
Daniel E. Holland III 0 0 0 0
Teresa E. Holliday 0 0 0 0
Gregory T. Hoogkamp 0 0 0 0
Thomas J. Hopkins 0 0 0 0
Robert D. Hormats 0 0 0 0
Robert G. Hottensen, Jr. 0 0 0 0
Michael R. Housden UK 0 0 0 0
Paul J. Huchro 0 0 0 0
James A. Hudis 0 0 0 0
Terry P. Hughes Ireland 0 0 0 0
Bimaljit S. Hundal UK 0 0 0 0
Edith A. Hunt 0 0 0 0
Susan J. Hunt UK 0 0 0 0
Fern Hurst 0 0 0 0
Robert J. Hurst 0 0 0 0
Toni Infante 0 0 0 0
Francis J. Ingrassia 0 0 0 0
Timothy J. Ingrassia 0 0 0 0
Masahiro Iwano Japan 0 0 0 0
Raymond J. Iwanowski 0 0 0 0
William L. Jacob III 0 0 0 0
Mark M. Jacobs 0 0 0 0
Richard I. Jaffee 0 0 0 0
Reuben Jeffery III 0 0 0 0
Stefan J. Jentzsch Germany 0 0 0 0
Dan H. Jester 0 0 0 0
Daniel J. Jick 0 0 0 0
Robert H. Jolliffe UK 0 0 0 0
Andrew J. Jonas 0 0 0 0
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Robert C. Jones 0 0 0 0
Chansoo Joung 0 0 0 0
Andrew J. Kaiser 0 0 0 0
Ann F. Kaplan 21 0 21 0
Barry A. Kaplan 0 0 0 0
David A. Kaplan 0 0 0 0
Jason S. Kaplan 0 0 0 0
Robert S. Kaplan 0 0 0 0
Scott B. Kapnick 0 0 0 0
Erland S. Karlsson Sweden 0 0 0 0
James M. Karp 0 0 0 0
Richard Katz 0 0 0 0
Robert J. Katz 0 0 0 0
Sofia Katzap 0 0 0 0
David K. Kaugher 0 0 0 0
Tetsuya Kawano Japan 0 0 0 0
R. Mark Keating 0 0 0 0
John L. Kelly 0 0 0 0
Kevin W. Kennedy 0 0 0 0
Thomas J. Kenny 0 0 0 0
Lawrence S. Keusch 0 0 0 0
Rustom N. Khandalavala 0 0 0 0
Peter A. Kiernan U.K. 0 0 0 0
Peter D. Kiernan III 0 0 0 0
James T. Kiernan, Jr. 0 0 0 0
Sun Bae Kim Canada 0 0 0 0
Douglas W. Kimmelman 0 0 0 0
Colin E. King Canada 0 0 0 0
Robert C. King, Jr. 0 0 0 0
Adrian P. Kingshott UK 0 0 0 0
Timothy M. Kingston 0 0 0 0
Lincoln Kinnicutt 0 0 0 0
Ewan M. Kirk UK 0 0 0 0
Daniel H. Klebes II 0 0 0 0
Michael K. Klingher 0 0 0 0
Craig A. Kloner 0 0 0 0
Jonathan R. Knight UK 0 0 0 0
</TABLE>
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Bradford C. Koenig 0 0 0 0
Mark J. Kogan 0 0 0 0
Stanley Kogelman 0 0 0 0
Jonathan L. Kolatch 0 0 0 0
Richard E. Kolman 0 0 0 0
David J. Kostin 0 0 0 0
Koji Kotaka Japan 0 0 0 0
Peter S. Kraus 0 15(8) 0 15(8)
Lawrence Kutscher 0 0 0 0
Christoph M. Ladanyi Austria 0 0 0 0
Peggy A. Lamb 0 0 0 0
David G. Lambert 0 0 0 0
Thomas K. Lane 0 0 0 0
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 0 0 0 0
Korea
Donald C. Lee 0 0 0 0
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Paulo C. Leme 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 0 0 0 0
Thomas B. Lewis, Jr. 0 0 0 0
Mark E. Leydecker 0 0 0 0
Matthew G. L'Heureux 0 0 0 0
Gwen R. Libstag 0 0 0 0
Stephen C. Lichtenauer 0 0 0 0
Roger A. Liddell UK 0 0 0 0
Richard J. Lieb 0 0 0 0
Mitchell J. Lieberman 0 0 0 0
Syaru Shirley Lin 0 0 0 0
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Robert Litterman 0 0 0 0
</TABLE>
-----------------------------------
(8) Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Robert H. Litzenberger 0 0 0 0
David McD A. Livingstone Australia 0 0 0 0
Douglas F. Londal 0 0 0 0
Jacques M. Longerstaey USA/Belgium 0 0 0 0
Jonathan M. Lopatin 0 0 0 0
Francisco Lopez-Balboa 0 0 0 0
Victor M. Lopez-Balboa 0 0 0 0
Antigone Loudiadis UK 0 0 0 0
C. Richard Lucy 0 0 0 0
Michael C. Luethke 0 0 0 0
Kevin L. Lundeen 0 0 0 0
Michael R. Lynch 0 0 0 0
Shogo Maeda Japan 0 0 0 0
John A. Mahoney 0 0 0 0
Sean O. Mahoney 0 0 0 0
Russell E. Makowsky 0 0 0 0
Peter G. C. Mallinson UK 0 0 0 0
Kathleen M. Maloney 0 0 0 0
Charles G. R. Manby UK 0 0 0 0
Robert S. Mancini 0 0 0 0
Barry A. Mannis 0 0 0 0
Arthur S. Margulis, Jr. 0 0 0 0
Jorge O. Mariscal Mexico 0 0 0 0
Richard J. Markowitz 0 0 0 0
Ronald G. Marks 0 0 0 0
Robert J. Markwick UK 0 0 0 0
Eff W. Martin 0 0 0 0
Jacques Martin Canada 0 0 0 0
John J. Masterson 0 0 0 0
David J. Mastrocola 0 0 0 0
Kathy M. Matsui 0 0 0 0
Tadanori Matsumura Japan 0 0 0 0
Heinz Thomas Mayer Germany 0 0 0 0
Thomas J. McAdam 0 0 0 0
Richard F. McArdle 0 0 0 0
Theresa E. McCabe 0 0 0 0
Joseph M. McConnell 0 0 0 0
</TABLE>
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
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 0 0 0 0
Netherlands
Sanjeev K. Mehra India 0 0 0 0
Michael C. Melignano 0 0 0 0
Roberto Mendoza 0 0 0 0
Amos Meron USA/Israel 0 0 0 0
T. Willem Mesdag 0 0 0 0
Andrew L. Metcalfe UK 0 0 0 0
Michael R. Miele 0 0 0 0
Gunnar T. Miller 0 0 0 0
Kenneth A. Miller 0 0 0 0
Therese L. Miller 0 0 0 0
James E. Milligan 0 0 0 0
Eric M. Mindich 0 0 0 0
Peter A. Mindnich 0 0 0 0
Edward S. Misrahi Italy 0 0 0 0
Steven T. Mnuchin 0 0 0 0
Kurt C. Mobley 0 0 0 0
Masanori Mochida Japan 0 0 0 0
Karsten N. Moller Denmark 0 0 0 0
Thomas K. Montag 0 0 0 0
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 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Sharmin Mossavar-Rahmani UK 0 0 0 0
Gregory T. Mount 0 0 0 0
Ian Mukherjee UK 0 0 0 0
Edward A. Mule 0 0 0 0
Eric D. Mullins 0 0 0 0
Donald J. Mulvihill 0 0 0 0
Patrick E. Mulvihill Ireland 0 0 0 0
Richard A. Murley UK 0 0 0 0
Philip D. Murphy 43 0 43 0
Thomas S. Murphy, Jr. 0 0 0 0
Gaetano J. Muzio 0 0 0 0
Michiya Nagai Japan 0 0 0 0
Gabrielle U. Napolitano 0 0 0 0
Avi M. Nash 0 0 0 0
Trevor P. Nash UK 0 0 0 0
Warwick M. Negus Australia 0 0 0 0
Daniel M. Neidich 22 0 22 0
Kipp M. Nelson 0 0 0 0
Robin Neustein 0 0 0 0
Duncan L. Niederauer 0 0 0 0
Susan M. Noble UK 0 0 0 0
Suok J. Noh 0 0 0 0
Suzanne M. Nora Johnson 0 0 0 0
Christopher K. Norton 0 0 0 0
Michael E. Novogratz 0 0 0 0
Jay S. Nydick 0 0 0 0
Katherine K. Oakley 0 0 0 0
Alok Oberoi India 0 0 0 0
David Ogens 0 0 0 0
Jinsuk T. Oh South Korea 0 0 0 0
John C. O'Hara 0 0 0 0
Terence J. O'Neill UK 0 0 0 0
Timothy J. O'Neill 0 0 0 0
Richard T. Ong Malaysia 0 0 0 0
Ronald M. Ongaro 0 0 0 0
Donald C. Opatrny, Jr. 0 0 0 0
Daniel B. O'Rourke 0 0 0 0
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
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 0 0 0 0
Netherlands
Michael J. Poulter UK 0 0 0 0
John J. Powers 0 0 0 0
Richard H. Powers 0 0 0 0
Michael A. Price 0 0 0 0
Scott Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 0 0 0
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
John J. Rafter Ireland 0 0 0 0
Jonathan Raleigh 0 0 0 0
Dioscoro-Roy I. Ramos Phillippines 0 0 0 0
Gregory G. Randolph 0 0 0 0
Charlotte P. Ransom UK 0 0 0 0
Michael G. Rantz 0 0 0 0
Joseph Ravitch 0 0 0 0
Girish V. Reddy 0 0 0 0
Arthur J. Reimers III 0 0 0 0
Anthony John Reizenstein UK 0 0 0 0
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John Rizner 0 0 0 0
Simon M. Robertson UK 0 0 0 0
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
J. David Rogers 0 0 0 0
John F. W. Rogers 0 0 0 0
Emmanuel Roman France 0 0 0 0
Eileen P. Rominger 0 0 0 0
Pamela P. Root 0 0 0 0
Ralph F. Rosenberg 0 0 0 0
Jacob D. Rosengarten 0 0 0 0
Richard J. Rosenstein 0 0 0 0
Ivan Ross 0 0 0 0
Stuart M. Rothenberg 0 0 0 0
Stuart R. Rubenstein 0 0 0 0
Michael S. Rubinoff 0 0 0 0
Ernest H. Ruehl, Jr. 0 0 0 0
Paul M. Russo 0 0 0 0
Richard M. Ruzika 0 0 0 0
Jeri Lynn Ryan 0 0 0 0
John C. Ryan 0 0 0 0
Michael D. Ryan 0 0 0 0
Katsunori Sago Japan 0 0 0 0
Pablo J. Salame Ecuador 0 0 0 0
J. Michael Sanders 0 0 0 0
Allen Sangines-Krause Mexico 0 0 0 0
Richard A. Sapp 0 0 0 0
Joseph Sassoon Israel 0 0 0 0
Tsutomu Sato Japan 240 0 240 0
Muneer A. Satter 0 0 0 0
Jonathan S. Savitz 0 0 0 0
Peter Savitz 0 0 0 0
Paul S. Schapira Italy 0 0 0 0
P. Sheridan Schechner 1,000 0 1,000 0
Gary B. Schermerhorn 0 0 0 0
Mitchell I. Scherzer Canada 0 0 0 0
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 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Richard S. Sharp UK 0 0 0 0
John P. Shaughnessy 0 0 0 0
Robert J. Shea, Jr. 0 0 0 0
James M. Sheridan 0 0 0 0
Richard G. Sherlund 0 0 0 0
Michael S. Sherwood UK 0 0 0 0
Michael H. Siegel 0 0 0 0
Howard A. Silverstein 0 0 0 0
Richard P. Simon 0 0 0 0
Victor R. Simone, Jr. 0 0 0 0
Dinakar Singh 0 0 0 0
Ravi M. Singh 0 0 0 0
Ravi Sinha India/USA 0 0 0 0
Allen W. Sinsheimer 0 0 0 0
Edward M. Siskind 0 0 0 0
Christian J. Siva-Jothy UK 0 0 0 0
Mark F. Slaughter 0 0 0 0
Linda J. Slotnick 0 0 0 0
Cody J Smith 0 0 0 0
Derek S. Smith 0 0 0 0
Michael M. Smith 0 0 0 0
Sarah E. Smith UK 0 0 0 0
Trevor A. Smith UK 0 0 0 0
Randolph C. Snook 0 0 0 0
Jonathan S. Sobel 0 0 0 0
David M. Solomon 0 0 0 0
Judah C. Sommer 0 0 0 0
Theodore T. Sotir 0 0 0 0
Daniel L. Sparks 0 0 0 0
Marc A. Spilker 0 0 0 0
Daniel W. Stanton 0 0 0 0
Esta E. Stecher 0 0 0 0
Cathrine S. Steck 0 0 0 0
Fredric E. Steck 0 0 0 0
Robert K. Steel 0 0 0 0
Joseph P. Stevens 0 0 0 0
Raymond S. Stolz 0 0 0 0
Steven H. Strongin 0 0 0 0
Andrew J. Stuart Australia 0 0 0 0
</TABLE>
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
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
S.C.
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 0 0 0 0
Netherlands
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 8 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 SHARED SOLE SHARED
(UNITED SOLE VOTING VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 STATES UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
---------------------- ------------- ----------- --------- ------------ -----------
<S> <C> <C> <C> <C> <C>
David A. Viniar 0 0 0 0
Barry S. Volpert 0 0 0 0
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
Berent A. Wallendahl Norway 0 0 0 0
David R. Walton UK 0 0 0 0
Hsueh-Ming Wang 0 0 0 0
Patrick J. Ward 0 0 0 0
Haruko Watanuki Japan 0 0 0 0
Edward F. Watts, Jr. 0 190(9) 0 190(9)
David M. Weil 0 0 0 0
John S. Weinberg 0 0 0 0
Peter A. Weinberg 0 0 0 0
Helge Weiner-Trapness Sweden 0 0 0 0
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 0 0 0 0
Bradley W. Wendt 0 0 0 0
Lance N. West 0 0 0 0
Matthew Westerman UK 0 0 0 0
Peter Wheeler UK 0 0 0 0
Barbara A. White 0 0 0 0
A. Carver Wickman 0 0 0 0
Susan A. Willetts 0 0 0 0
Anthony G. Williams UK 0 0 0 0
Christopher G. Williams UK 0 0 0 0
Gary W. Williams 0 0 0 0
Todd A. Williams 0 0 0 0
John S. Willian 0 0 0 0
Kenneth W. Willman 0 0 0 0
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New 0 0 0 0
Zealand
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 (PRC) 0 0 0 0
Richard A. Yacenda 0 0 0 0
Tetsufumi Yamakawa Japan 0 0 0 0
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
Xiang-Dong Yang China (PRC) 0 0 0 0
</TABLE>
---------------------------------------
(9) Shared with family members.
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 6 ITEM 9 ITEM 10
CITIZENSHIP ITEM 7 ITEM 8 SOLE SHARED
(UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
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(10) 0 35(10)
Paolo Zannoni Italy 0 0 0 0
Yoel Zaoui France 0 0 0 0
Gregory H. Zehner 0 0 0 0
Jide J. Zeitlin 0 0 0 0
Joan H. Zief 0 0 0 0
Joseph R. Zimmel 0 0 0 0
James P. Ziperski 0 0 0 0
Barry L. Zubrow 0 0 0 0
Mark A. Zurack 0 0 0 0
Shares held by 88 private N/A 0 1,458,217 0 1,458,217
charitable foundations
established by 88 Covered
Persons each of whom is a
co- trustee of one or
more of such private
charitable foundations(11)
</TABLE>
---------------------------------
(10) Shared with family members.
(11) Each Covered Person disclaims beneficial ownership of all such shares
of Common Stock.
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C>
TRUSTS
------
2000 Carlos A. Cordeiro 0 0 0 0
Grantor Retained
Annuity Trust
2000 Danny O. Yee Grantor 0 0 0 0
Retained Annuity
Trust
2000 Douglas W. Kimmelman 0 0 0 0
Grantor Retained
Annuity Trust
2000 Girish V. Reddy 0 0 0 0
Grantor Retained
Annuity Trust
2000 James M. Sheridan 0 0 0 0
Grantor Retained
Annuity Trust
2000 John A. Thain 0 0 0 0
Grantor Retained
Annuity Trust
2000 Kipp M. Nelson 0 0 0 0
Grantor Retained
Annuity Trust
2000 Mary Ann Casati 0 0 0 0
Grantor Retained
Annuity Trust
2000 Michael E. Novogratz 0 0 0 0
Grantor Retained
Annuity Trust
2000 Scott S. Prince 0 0 0 0
Grantor Retained
Annuity Trust
The Abby Joseph Cohen 0 0 0 0
2000 Annuity Trust I
The Abby Joseph Cohen 0 0 0 0
2000 Family Trust
The Adina R. Lopatin 2000 0 0 0 0
Trust
The Alexander H. Witten 0 0 0 0
2000 Trust
The Alexander I. 0 0 0 0
Berlinski 2000 Trust
The Alexander 0 0 0 0
Litzenberger 2000
Grantor Retained
Annuity Trust
</TABLE>
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Alexander 0 0 0 0
Litzenberger
Remainder Trust
The Alexandra D. Steel 0 0 0 0
2000 Trust
The Alexis Blood 2000 0 0 0 0
Trust
The Alyssa Blood 2000 0 0 0 0
Trust
The Amanda Liann Mead 0 0 0 0
2000 Trust
Anahue Trust Jersey 0 0 0 0
Andrew L. Fippinger- 0 0 0 0
Millennium Trust
The Andrew M Alper 2000 0 0 0 0
Annuity Trust I
The Andrew M. Gordon 2000 0 0 0 0
Family Trust
Ann F. Kaplan Two Year 0 0 0 0
Trust Dated June 2000
The Anne R. Witten 2000 0 0 0 0
Trust
The Anne Sullivan Wellde 0 0 0 0
2000 Trust
The Anthony D. Lauto 2000 0 0 0 0
Annuity Trust I
The Anthony D. Lauto 2000 0 0 0 0
Family Trust
The Arthur J. Reimers, Connecticut 0 0 0 0
III Defective Trust
2000
Arthur J. Reimers, III Connecticut 0 0 0 0
Grantor Retained
Annuity Trust 2000
The Avi M. Nash 2000 0 0 0 0
Annuity Trust I
The Avi M. Nash 2000 0 0 0 0
Family Trust
The Bari Marissa Schwartz 0 0 0 0
2000 Trust
Barry A. Kaplan 2000 0 0 0 0
Family Trust
Barry A. Kaplan 2000 GRAT 0 0 0 0
The Barry L. Zubrow 2000 0 0 0 0
Annuity Trust I
The Barry L. Zubrow 2000 0 0 0 0
Family Trust
</TABLE>
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C>
The Benjamin H. Sherlund 0 0 0 0
2000 Trust
The Benjamin Kraus 2000 0 0 0 0
Trust
The Bradley Abelow Family 0 0 0 0
2000 Trust
The Caceres Novogratz 0 0 0 0
Family Trust
The Carlos A. Cordeiro 0 0 0 0
Trust
The Charlotte Steel 2000 0 0 0 0
Trust
The Charlotte Textor 2000 0 0 0 0
Trust
The Christopher A. Cole 0 0 0 0
2000 Annuity Trust I
The Christopher A. Cole 0 0 0 0
2000 Family Trust
The Christopher K. Norton 0 0 0 0
2000 Family Trust
The Christopher Palmisano 0 0 0 0
2000 Grantor Retained
Annuity Trust
The Christopher Palmisano 0 0 0 0
Remainder Trust
The Christopher Ryan 0 0 0 0
Tortora 2000 Trust
The Cody J Smith 2000 0 0 0 0
Annuity Trust I
The Cody J Smith 2000 0 0 0 0
Family Trust
The Connie K. Duckworth 0 0 0 0
2000 Annuity Trust I
The Connie K. Duckworth 0 0 0 0
2000 Family Trust
The Constance A. Haydock 0 0 0 0
2000 Trust
The Daniel Alexander 0 0 0 0
Schwartz 2000 Trust
The Daniel M. Neidich 0 0 0 0
2000 Annuity Trust I
The Daniel W. Stanton 0 0 0 0
2000 Annuity Trust I
The Daniel W. Stanton, II 0 0 0 0
2000 Trust
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Danny O. Yee Trust 0 0 0 0
The David B. Ford 2000 Pennsylvania 0 0 0 0
Annuity Trust DTD as
of 6/16/2000
The David B. Heller 2000 0 0 0 0
Annuity Trust I
The David B. Heller 2000 0 0 0 0
Family Trust
The David G. Lambert 2000 0 0 0 0
Annuity Trust I
The David G. Lambert 2000 0 0 0 0
Family Trust
The David L. Henle 2000 0 0 0 0
Annuity Trust I
The David L. Henle 2000 0 0 0 0
Family Trust
The David M. Baum Family New Jersey 0 0 0 0
2000 Trust
The David Viniar 2000 0 0 0 0
Annuity Trust I
The David W. Blood 2000 0 0 0 0
Annuity Trust I
The Donald F. Textor 2000 0 0 0 0
Annuity Trust I
The Douglas W. Kimmelman 0 0 0 0
Trust
The Eaddy Adele Kiernan 0 0 0 0
2000 Trust
The Edward C. Forst 2000 0 0 0 0
Annuity Trust I
The Edward C. Forst 2000 0 0 0 0
Family Trust
The Edward Scott Mead 0 0 0 0
2000 Annuity Trust I
Eff Warren Martin 2000 California 0 0 0 0
Childrens Trust
Eff Warren Martin 2000 California 0 0 0 0
Grantor Retained
Annuity Trust
The Elizabeth Anne 0 0 0 0
Corrigan 2000 Trust
The Elizabeth H. Coulson 0 0 0 0
2000 Trust
The Elizabeth L. Heller 0 0 0 0
2000 Trust
The Elizabeth Lin Mead 0 0 0 0
2000 Trust
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C>
The Elizabeth M. Stanton 0 0 0 0
2000 Trust
The Elizabeth Steel 2000 0 0 0 0
Trust
The Ellie Dorit Neustein 0 0 0 0
2000 Trust
The Emily Austen Katz 0 0 0 0
2000 Trust
The Emily Stecher 2000 0 0 0 0
Trust
The Emma M.L. Mead 2000 0 0 0 0
Trust
The Eric Fithian 2000 0 0 0 0
Trust
The Erin Marie Tormondsen 0 0 0 0
2000 Trust
The Esta Eiger Stecher 0 0 0 0
2000 Annuity Trust I
The Francis J. Ingrassia 0 0 0 0
2000 Annuity Trust I
The Francis J. Ingrassia 0 0 0 0
2000 Family Trust
The Frank L. Coulson III 0 0 0 0
2000 Trust
The Fredric E. Steck 2000 0 0 0 0
Annuity Trust I
The Fredric E. Steck 2000 0 0 0 0
Family Trust
Gary D. Cohn 2000 Family 0 0 0 0
Trust
Gary D. Cohn 2000 GRAT 0 0 0 0
The Geoffrey T. Grant 0 0 0 0
2000 Family Trust
The George H. Walker 2000 0 0 0 0
Annuity Trust I
The George H. Walker 2000 0 0 0 0
Family Trust
The George W. Wellde, Jr. 0 0 0 0
2000 Annuity Trust I
The George William 0 0 0 0
Wellde, III 2000
Trust
Ghez 2000 GRAT 0 0 0 0
Ghez 2000 Non-GST-Exempt 0 0 0 0
Trust
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Girish V. Reddy Trust 0 0 0 0
The Goldenberg 2000 0 0 0 0
Annuity Trust I
The Goldenberg 2000 0 0 0 0
Family Trust
The Greg M. Ostroff 2000 0 0 0 0
Annuity Trust I
The Greg M. Ostroff 2000 0 0 0 0
Family Trust
The Gregory H. Zehner 0 0 0 0
2000 Annuity Trust I
The Gregory H. Zehner 0 0 0 0
2000 Family Trust
The Gregory K. Palm 2000 0 0 0 0
Annuity Trust I
The Gregory K. Palm 2000 0 0 0 0
Family Trust
The Guapulo Trust Jersey 0 0 0 0
The Howard A. Silverstein 0 0 0 0
2000 Annuity Trust I
The Howard A. Silverstein 0 0 0 0
2000 Family Trust
The Howard B. Schiller 0 0 0 0
2000 Annuity Trust I
The Isabelle M.L. Mead 0 0 0 0
2000 Trust
The J. David Rogers 2000 0 0 0 0
Annuity Trust I
The James Alexander Mead 0 0 0 0
2000 Trust
The James M. Sheridan 0 0 0 0
Trust
The James Nicholas Katz 0 0 0 0
2000 Trust
James P. Riley, Jr. 2000 0 0 0 0
Family Trust
James P. Riley, Jr. 2000 0 0 0 0
GRAT
The Jason Kraus 2000 0 0 0 0
Trust
The Jason William Tortora 0 0 0 0
2000 Trust
The Jeffrey D. Witten 0 0 0 0
2000 Trust
</TABLE>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C>
The Jennifer Lauren Alper 0 0 0 0
2000 Trust
JG 2000 Trust 0 0 0 0
JG 2000 Trust (continuing 0 0 0 0
trust)
The John A. Thain Trust 0 0 0 0
The John J. Powers 2000 0 0 0 0
Family Trust
The John L. Townsend, III 0 0 0 0
2000 Annuity Trust I
The John O. Downing 2000 0 0 0 0
Annuity Trust I
The John O. Downing 2000 0 0 0 0
Family Trust
The John P. Curtin, Jr. 0 0 0 0
2000 Annuity Trust I
The John P. Curtin, Jr. 0 0 0 0
2000 Family Trust
The John R. Tormondsen 0 0 0 0
2000 Annuity Trust I
The John R. Tormondsen, 0 0 0 0
Jr. 2000 Trust
The John S. Weinberg 2000 0 0 0 0
Annuity Trust I
The John S. Weinberg 2000 0 0 0 0
Family Trust
The Jonathan G. Neidich 0 0 0 0
2000 Trust
The Jonathan M. Lopatin 0 0 0 0
2000 Annuity Trust I
The Jordan Viniar 2000 0 0 0 0
Trust
The Joseph Della Rosa 0 0 0 0
2000 Annuity Trust I
The Joseph Della Rosa 0 0 0 0
2000 Family Trust
The Joseph H. Gleberman 0 0 0 0
2000 Annuity Trust I
The Joseph H. Gleberman 0 0 0 0
2000 Family Trust
The Jun Makihara 2000 0 0 0 0
Family Trust
The Karen Barlow Corrigan 0 0 0 0
2000 Trust
The Karen Rebecca Alper 0 0 0 0
2000 Trust
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Karsten Moller & Jersey 0 0 0 0
Barbara Kahn-Moller
Trust
The Katherine A.M. 0 0 0 0
Stanton 2000 Trust
The Katheryn C. Coulson 0 0 0 0
2000 Trust
The Kathryn Margaret 0 0 0 0
Wellde 2000 Trust
The Kelsey Fithian 2000 0 0 0 0
Trust
The Kenneth Litzenberger 0 0 0 0
2000 Grantor Retained
Annuity Trust
The Kenneth Litzenberger 0 0 0 0
Remainder Trust
The Kevin W. Kennedy 2000 0 0 0 0
Annuity Trust I
The Kevin W. Kennedy 2000 0 0 0 0
Family Trust
The Kimberly Lynn 0 0 0 0
Macaione 2000 Trust
The Kimberly R. Textor 0 0 0 0
2000 Trust
The Kipp M. Nelson Trust 0 0 0 0
The Kyle F. Textor 2000 0 0 0 0
Trust
The Lauren Schiller 2000 0 0 0 0
Trust
The Lawrence R. Buchalter 0 0 0 0
2000 Annuity Trust I
The Lawrence R. Buchalter 0 0 0 0
2000 Family Trust
The Lee G. Vance 2000 0 0 0 0
Annuity Trust I
The Lee G. Vance 2000 0 0 0 0
Family Trust
The Leslie C. Tortora 0 0 0 0
2000 Annuity Trust I
Lloyd C. Blankfein 2000 0 0 0 0
Family Trust
Lloyd C. Blankfein 2000 0 0 0 0
GRAT
The Louise Rice Townsend 0 0 0 0
2000 Trust
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
M. Roch Hillenbrand Trust New Jersey 0 0 0 0
f/b/o C. Justin
Hillenbrand
M. Roch Hillenbrand Trust New Jersey 0 0 0 0
f/b/o Molly D.
Hillenbrand
The Mallory G. Neidich 0 0 0 0
2000 Trust
The Marc A. Spilker 2000 0 0 0 0
Family Trust
The Mark A. Zurack 2000 0 0 0 0
Annuity Trust I
The Mark A. Zurack 2000 0 0 0 0
Family Trust
The Mark A. Zurack 2000 0 0 0 0
Issue Trust
Mark Dehnert Living Trust Illinois 0 0 0 0
The Mark Schwartz 2000 0 0 0 0
Annuity Trust I
The Mark Tercek 2000 0 0 0 0
Annuity Trust I
The Mark Tercek 2000 0 0 0 0
Family Trust
Marks 2000 0 0 0 0
Marks 2000 (continuing 0 0 0 0
trust)
The Mary Agnes Reilly 0 0 0 0
Kiernan 2000 Trust
The Mary Ann Casati Trust 0 0 0 0
The Matthew D. Rogers 0 0 0 0
2000 Trust
The Matthew Peter Mortara 0 0 0 0
2000 Trust
The Maya Bettina Linden 0 0 0 0
2000 Trust
The Merritt Moore 0 0 0 0
Townsend 2000 Trust
The Mesdag Family Trust Delaware 0 0 0 0
The Michael A. Price 2000 0 0 0 0
Annuity Trust I
The Michael A. Price 2000 0 0 0 0
Family Trust
The Michael D. Ryan 2000 0 0 0 0
Annuity Trust I
The Michael D. Ryan 2000 0 0 0 0
Family Trust
</TABLE>
30
<PAGE> 31
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C>
The Michael J. Zamkow 0 0 0 0
2000 Annuity Trust I
The Michael J. Zamkow 0 0 0 0
2000 Family Trust
The Michael P. Mortara 0 0 0 0
2000 Annuity Trust I
The Michael Paul Mortara 0 0 0 0
2000 Trust
The Michael Stecher 2000 0 0 0 0
Trust
The Milton R. Berlinski 0 0 0 0
2000 Annuity Trust I
The Mossavar-Rahmani 2000 0 0 0 0
Annuity Trust I
The Mossavar-Rahmani 2000 0 0 0 0
Family Trust
Murphy 2000 0 0 0 0
Murphy 2000 (continuing 0 0 0 0
trust)
The Natalie Cailyn Rogers 0 0 0 0
2000 Trust
The Nicole Schiller 2000 0 0 0 0
Trust
The Nina B. Haydock 2000 0 0 0 0
Trust
The Peter C. Gerhard 2000 0 0 0 0
Annuity Trust I
The Peter C. Gerhard 2000 0 0 0 0
Family Trust
The Peter D. Kiernan, III 0 0 0 0
2000 Annuity Trust I
The Peter Kiernan IV 2000 0 0 0 0
Trust
The Peter S. Kraus 2000 0 0 0 0
Annuity Trust I
The Philip D. Murphy 2000 0 0 0 0
Annuity Trust I
The Philip D. Murphy 2000 0 0 0 0
Family Trust
The Philip Darivoff 2000 0 0 0 0
Annuity Trust I
The Rachel M. Darivoff 0 0 0 0
2000 Trust
The Ralph F. Rosenberg 0 0 0 0
2000 Annuity Trust I
The Ralph F. Rosenberg 0 0 0 0
2000 Family Trust
</TABLE>
31
<PAGE> 32
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
Randal M. Fippinger- 0 0 0 0
Millennium Trust
The Randolph L. Cowen 0 0 0 0
2000 Family Trust
Rayas Trust Jersey 0 0 0 0
The Rebecca Viniar 2000 0 0 0 0
Trust
The Richard A. Friedman 0 0 0 0
2000 Annuity Trust I
The Richard A. Friedman 0 0 0 0
2000 Family Trust
The Richard A. Sapp 2000 0 0 0 0
Annuity Trust I
The Richard A. Sapp 2000 0 0 0 0
Family Trust
The Richard E. Witten 0 0 0 0
2000 Annuity Trust I
The Richard G. Sherlund 0 0 0 0
2000 Annuity Trust I
Robert A. Fippinger, Jr.- 0 0 0 0
Millennium Trust
The Robert B. Litterman 0 0 0 0
2000 Annuity Trust I
The Robert B. Litterman 0 0 0 0
2000 Family Trust
The Robert B. Morris III 0 0 0 0
2000 Annuity Trust I
The Robert J. Hurst 2000 0 0 0 0
Annuity Trust I
The Robert J. Hurst 2000 0 0 0 0
Family Trust
The Robert J. Katz 2000 0 0 0 0
Annuity Trust I
The Robert J. O Shea 2000 0 0 0 0
Annuity Trust I
The Robert J. O Shea 2000 0 0 0 0
Family Trust
The Robert J. Pace 2000 0 0 0 0
Annuity Trust I
The Robert J. Pace 2000 0 0 0 0
Family Trust
The Robert K. Steel 2000 0 0 0 0
Annuity Trust I
The Robert B. Morris III 0 0 0 0
2000 Family Trust
The Robin Neustein 2000 0 0 0 0
Annuity Trust I
</TABLE>
32
<PAGE> 33
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Samantha Schiller 0 0 0 0
2000 Trust
The Sarah B. Lopatin 2000 0 0 0 0
Trust
The Sarah Delacy Kiernan 0 0 0 0
2000 Trust
The Sarah M. Darivoff 0 0 0 0
2000 Trust
The Sarah Rose Berlinski 0 0 0 0
2000 Trust
The Scott B. Kapnick 2000 0 0 0 0
Annuity Trust I
The Scott B. Kapnick 2000 0 0 0 0
Family Trust
Scott M. Pinkus 2000 New Jersey 0 0 0 0
Family Trust
Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0
The Scott S. Prince Trust 0 0 0 0
The Stephen M. Neidich 0 0 0 0
2000 Trust
The Steven M. Heller, Jr. 0 0 0 0
2000 Trust
The Steven T. Mnuchin 0 0 0 0
2000 Annuity Trust I
The Steven T. Mnuchin 0 0 0 0
2000 Family Trust
The Stuart Mark 0 0 0 0
Rothenberg 2000
Annuity Trust I
The Stuart Mark 0 0 0 0
Rothenberg 2000
Family Trust
The Terence M. O Toole 0 0 0 0
2000 Annuity Trust I
The Terence M. O Toole 0 0 0 0
2000 Family Trust
The Tess Augusta Linden 0 0 0 0
2000 Trust
The Thomas K. Montag 2000 0 0 0 0
Annuity Trust I
The Thomas K. Montag 2000 0 0 0 0
Family Trust
The Tracy Richard 0 0 0 0
Wolstencroft 2000
Annuity Trust I
</TABLE>
33
<PAGE> 34
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
The Tracy Richard 0 0 0 0
Wolstencroft 2000
Family Trust
Trust for the benefit of Pennsylvania 0 0 0 0
David Ford, Jr. under
Indenture of Trust B
of David B. Ford
dated 6/16/00
Trust for the benefit of Pennsylvania 0 0 0 0
Jamie Ford under
Indenture of Trust B
of David B. Ford
dated as of 6/16/00
Vyrona Trust Jersey 0 0 0 0
The Walter H. Haydock 0 0 0 0
2000 Annuity Trust I
The Walter H. Haydock, Jr. 0 0 0 0
2000 Trust
The William C. Sherlund 0 0 0 0
2000 Trust
The William Keith 0 0 0 0
Litzenberger 2000
Grantor Retained
Annuity Trust
The William Keith 0 0 0 0
Litzenberger
Remainder Trust
The Zachariah Cobrinik 0 0 0 0
2000 Annuity Trust I
The Zachariah Cobrinik 0 0 0 0
Family 2000 Trust
PARTNERSHIPS
------------
ALS Investment Partners, Delaware 0 0 0 0
L.P.
Beech Associates, L.P. Delaware 0 0 0 0
Crestley, L.P. Delaware 0 0 0 0
Daniel G. Brennan Family Illinois 0 0 0 0
Limited Partnership
Greenley Partners, L.P. Delaware 0 0 0 0
HEMPA Limited Partnership Delaware 0 0 0 0
JSS Investment Partners, Delaware 0 0 0 0
L.P.
Mesdag Family Limited Delaware 0 0 0 0
Partnership
</TABLE>
34
<PAGE> 35
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------------ ----------------- ------------- --------------- ------------- --------------
<S> <C> <C> <C> <C> <C>
Mijen Family Partnership Illinois 0 0 0 0
Opatrny Investment Delaware 0 0 0 0
Partners, L.P.
Rantz GS Investment Delaware 0 0 0 0
Partners, L.P.
Savitz Investment Delaware 0 0 0 0
Partners, L.P.
The Litzenberger Family Delaware 0 0 0 0
Limited Partnership
The Rizner Family Limited Illinois 0 0 0 0
Partnership
Trott GS Investment Delaware 0 0 0 0
Partners, L.P.
Tuft GS Investment Delaware 0 0 0 0
Partners, L.P.
Windy Hill Investment Delaware 0 0 0 0
Company II, L.P.
Winkelried Investment Delaware 0 0 0 0
Partners, L.P.
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. 8 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. 8 is being filed because certain Covered
Persons (as defined below) intend to sell up to an aggregate of 7,897,714
shares of Common Stock (as defined below) in accordance with the volume and
manner of sale limitations of Rule 144 under the Securities Act of 1933, as
amended ("Rule 144").
Item 1. Security and Issuer
This Schedule relates to the Common Stock, par value $.01 per share
(the "Common Stock"), of The Goldman Sachs Group, Inc., a Delaware corporation
(together with its subsidiaries and affiliates, "GS Inc."). The address of the
principal executive offices of GS Inc. is 85 Broad Street, New York, New York
10004.
Item 2. Identity and Background
(a), (b), (c), (f) The cover page to this Schedule and Appendix A
hereto contain the names of the persons ("Covered Persons") who beneficially
own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated
as of May 7, 1999, to which the Covered Persons are party (as amended from time
to time, the "Shareholders' Agreement"). This filing is being made on behalf of
all of the Covered Persons, and their agreement that this filing may be so made
is contained in the Shareholders' Agreement.
This Schedule contains certain information relating to Sumitomo Bank
Capital Markets, Inc. ("SBCM") and Kamehameha Activities Association ("KAA"),
who may be deemed to be members of a "group" with the Covered Persons. Each
Covered Person hereby disclaims beneficial ownership of the shares of Common
Stock and other equity securities of GS Inc. subject to the Voting Agreements
between SBCM and KAA, respectively, on the one hand, and GS Inc., on the other
hand (respectively, the "SBCM Shares" and the "KAA Shares"). All information
contained in this Schedule relating to SBCM and KAA has been included based
upon information provided by SBCM and KAA; the separate Schedules 13D filed by
SBCM and KAA and any amendments thereto should be referred to for information
relating to SBCM and KAA, respectively.
Appendix A hereto also provides the citizenship or place of
organization of each Covered Person. Each Covered Person who is an individual
(an "Individual Covered Person") is a senior professional employed or formerly
employed by GS Inc. or a spouse or former spouse thereof. GS Inc. is a global
investment banking and securities firm. Each of The Daniel G. Brennan Family
Limited Partnership, Mark Dehnert Living Trust, Mijen Family Partnership and
The Rizner Family Limited Partnership, and each other Covered Person who is not
an individual (the "Estate Planning Covered Persons") is a trust, limited
partnership or corporation created by an Individual Covered Person solely for
estate planning purposes. The Covered Persons listed in Appendix A under the
caption "Partnerships" are limited partnerships of which an Individual Covered
Person is general partner. Each Estate Planning Covered Person listed in
Appendix A under the caption "Corporations" (a "Corporate Estate Planning
Covered Person") is controlled by an Individual Covered Person (the
"Controlling Covered Person"). The name, citizenship, business address and
present principal occupation or employment of each of the directors and
executive officers of each Corporate Estate Planning Covered Person (other than
the Controlling Covered Person) is set forth in Annex A hereto. The business
address of each Covered Person for purposes of this Schedule is: (i) in the
case of entities organized in Jersey, 26 New Street, St. Helier, Jersey, JE4
3RA; (ii) in the case of entities organized in the Cayman Islands, P.O. Box
309, Ugland House, South Church Street, George Town, Grand Cayman, Cayman
Islands; and (iii) in the case of all other Covered Persons, 85 Broad Street,
New York, New York 10004.
(d), (e) Except as described in Annex A or Annex B, during the last
five years, no Covered Person or, to the best knowledge of the Covered Persons,
any executive officer or director of a Covered Person, has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction resulting in such Covered Person being subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
The Covered Shares have been and will be acquired by the Covered
Persons in the following manner: (i) the former profit participating limited
partners active in the business of The Goldman Sachs Group, L.P.
36
<PAGE> 37
("Group L.P.") (each such former partner, a "PMD" and, collectively, the
"PMDs") acquired certain Covered Shares in exchange for their interests in
Group L.P. and certain of its affiliates and investee corporations; (ii) the
former owners (the "Hull Covered Persons") of Hull and Associates, L.L.C.
("Hull") acquired certain Covered Shares in exchange for their interests in
Hull; (iii) certain Individual Covered Persons have acquired and will acquire
beneficial ownership of certain other Covered Shares in connection with GS
Inc.'s initial public offering and/or pursuant to GS Inc.'s employee
compensation, benefit or similar plans; (iv) certain Individual Covered Persons
(the "Transferee Covered Persons") acquired their Covered Shares from PMDs in
accordance with pre-existing contractual arrangements or judicial decrees; and
(v) the Estate Planning Covered Persons have acquired and will acquire
beneficial ownership of their Covered Shares as contributions or gifts made by
Individual Covered Persons.
Covered Persons may from time to time acquire Common Stock not subject
to the Shareholders' Agreement ("Uncovered Shares") for investment purposes.
Such Common Stock may be acquired with personal funds of or funds borrowed by
such Covered Person.
Item 4. Purpose of Transactions
The Individual Covered Persons, other than the Hull Covered Persons
and the Transferee Covered Persons, acquired the Covered Shares in connection
with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s
initial public offering and through certain employee compensation, benefit or
similar plans of GS Inc. The Hull Covered Persons acquired the Covered Shares
in connection with the acquisition by GS Inc. of Hull and through certain
employee compensation, benefit or similar plans of GS Inc. The Transferee
Covered Persons acquired their Covered Shares from PMDs in accordance with
pre-existing contractual arrangements or judicial decrees. As a condition to
the transfer of the Covered Shares, the Shareholders' Committee required that
each Transferee Covered Person agree to become a party to the Shareholders'
Agreement and to be bound by the Partner Transfer Restrictions referred to in
Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares
as contributions or gifts made for estate planning purposes by Individual
Covered Persons, and the provisions of the organizational documents of certain
Estate Planning Covered Persons provide for the distribution of Common Stock to
certain other Covered Persons. As a condition to the contribution or gift of
the Covered Shares, the Shareholders' Committee required that each Estate
Planning Covered Person agree to become a party to the Shareholders' Agreement
and to be bound by the Partner Transfer Restrictions referred to in Item 6
below.
The board of directors of GS Inc. has approved a program (the "Rule
144 Program") to permit the PMDs and former direct and indirect owners of Hull
to sell, in a coordinated manner, a portion of their shares of Common Stock in
accordance with the volume and manner of sale limitations of Rule 144. It is
currently expected that sales under the Rule 144 Program will commence during
the week of September 25, 2000. During GS Inc.'s fiscal quarter ending
November 24, 2000, each of the Covered Persons listed in Annex C intends to
sell up to the number of shares of Common Stock set forth opposite such Covered
Person's name in Annex C under the Rule 144 Program (an aggregate of up to
7,897,714 shares for all Covered Persons). Sales under the Rule 144 Program
will be made on behalf of the participating Covered Persons pursuant to a Power
of Attorney, a form of which is filed as an Exhibit to this Schedule.
The Rule 144 Program may continue in subsequent fiscal quarters, but
can be suspended or terminated at any time. GS Inc. has not solicited
indications of interest from any of the Covered Persons as to whether they
would like to sell shares of Common Stock in subsequent fiscal quarters.
Covered Persons may from time to time acquire Uncovered Shares for
investment purposes. Except as described in Item 6 and except for the
acquisition by Covered Persons of Common Stock pursuant to employee
compensation, benefit or similar plans of GS Inc. in the future or as
described above, none of the Covered Persons has any plans or proposals which
relate to or would result in their acquisition of additional Common Stock or
any of the other events described in Item 4(a) through 4(j).
Each Covered Person is expected to evaluate on an ongoing basis GS
Inc.'s financial condition and prospects and his or her interests in and with
respect to GS Inc. Accordingly, each Covered Person may change his or her plans
and intentions at any time and from time to time. In particular, each Covered
Person may at any time and from time to time acquire or dispose of shares of
Common Stock.
37
<PAGE> 38
Item 5. Interest in Securities of the Issuer
(a) Rows (11) and (13) of the cover page to this Schedule, Appendix A
and Annex A are hereby incorporated by reference. Each Covered Person hereby
disclaims beneficial ownership of any shares of Common Stock held by any other
Covered Person and disclaims beneficial ownership of the SBCM Shares and the
KAA Shares. Except as described in Annex D, none of the shares of Common Stock
reported in rows (11) and (13) of the cover page to this Schedule and Appendix
A are shares as to which there is a right to acquire exercisable within 60
days.
(b) Rows (7) through (10) of the cover page to this Schedule, Appendix
A and Annex A set forth the percentage range of Covered Shares as to which
there is sole power to vote or direct the vote or to dispose or direct the
disposition; the number of Uncovered Shares as to which there is sole power to
vote or direct the vote or to dispose or direct the disposition; and the number
of shares of Common Stock as to which there is shared power to vote or direct
the vote or to dispose or direct the disposition. The power to vote Covered
Shares by Covered Persons is shared with each other Covered Person, as
described below in response to Item 6. Each Covered Person hereby disclaims
beneficial ownership of any shares of Common Stock held by any other Covered
Person and disclaims beneficial ownership of the SBCM Shares and the KAA
Shares.
(c) Except as described in Annex E or previously reported on Schedule
13D, no Covered Person has effected any transactions in Common Stock in the
past 60 days.
(d), (e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer
Each Covered Person listed on the cover page to this Schedule and
Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders'
Agreement, and forms of the Counterparts to the Shareholders' Agreement
executed by or on behalf of the Estate Planning Covered Persons, certain Hull
Covered Persons and the Transferee Covered Persons, are filed as Exhibits to
this Schedule and the following summary of the terms of the Shareholders'
Agreement is qualified in its entirety by reference thereto. References to the
"board of directors" are to the board of directors of The Goldman Sachs Group,
Inc.
The Covered Shares include generally all Common Stock acquired or to
be acquired from GS Inc. by the Covered Persons. Covered Shares include:
shares of Common Stock acquired by the PMDs in exchange for their interests in
Group L.P. and certain of its affiliates; shares of Common Stock acquired by
the Hull Covered Persons in exchange for their interests in Hull; shares of
Common Stock acquired or to be acquired through the grant of restricted stock
units, stock options and interests in a defined contribution plan (except for
certain Uncovered Shares as specified in Appendix A); shares of Common Stock
acquired by the Transferee Covered Persons in accordance with pre-existing
contractual arrangements or judicial decrees; shares of Common Stock acquired
or to be acquired by Estate Planning Covered Persons from Individual Covered
Persons for estate planning purposes and shares of Common Stock to be
distributed by Estate Planning Covered Persons to Individual Covered Persons or
to other Estate Planning Covered Persons; and, unless otherwise determined by
the board of directors and the Shareholders' Committee, any shares of Common
Stock acquired or to be acquired by the Covered Persons from GS Inc. through
any other employee compensation, benefit or similar plan. Covered Shares do not
include any shares of Common Stock purchased or to be purchased by a Covered
Person in the open market or in a subsequent underwritten public offering.
TRANSFER RESTRICTIONS
Each Individual Covered Person (other than the Transferee Covered
Persons and, with respect to the shares of Common Stock received in exchange
for their interests in Hull, the Hull Covered Persons) has agreed in the
Shareholders' Agreement, among other things, to retain beneficial ownership of
Covered Shares at least equal to 25% of the cumulative number of Covered Shares
beneficially owned by him or her at the time he or she became a Covered Person
or acquired by him or her thereafter and with no credit for dispositions (the
"General Transfer Restrictions") for so long as he or she is a Covered Person
and an employee of GS Inc. (an "Employee Covered Person").
38
<PAGE> 39
The PMDs will also be subject to limitations on their ability to
transfer Covered Shares received in connection with the succession of GS Inc.
to the business of Group L.P. These restrictions will also apply to the
Covered Shares acquired by the Hull Covered Persons in exchange for their
interests in Hull. Under these restrictions, each such PMD and Hull Covered
Person has agreed not to transfer such Covered Shares until May 7, 2002, the
third anniversary of the date of GS Inc.'s initial public offering of its
Common Stock (the "Partner Transfer Restrictions" and, together with the
General Transfer Restrictions, the "Transfer Restrictions"). The Partner
Transfer Restrictions will lapse as to such Covered Shares in equal
installments on each of May 7, 2002, May 7, 2003 and May 7, 2004. The Covered
Shares held by each Estate Planning Covered Person and Transferee Covered
Person are subject to the same Partner Transfer Restrictions that applied to
such Covered Shares prior to such Covered Person's acquisition thereof. The
Transfer Restrictions applicable to an Individual Covered Person (and his or
her Estate Planning Covered Persons) terminate upon the death of the Individual
Covered Person.
WAIVERS
Except in the case of a third-party tender or exchange offer, the
Partner Transfer Restrictions may be waived or terminated at any time by the
Shareholders' Committee described below under "Information Regarding the
Shareholders' Committee". The Shareholders' Committee also has the power to
waive the Transfer Restrictions to permit Covered Persons to: participate as
sellers in underwritten public offerings of Common Stock and tender and
exchange offers and share repurchase programs by GS Inc.; transfer Covered
Shares to charities, including charitable foundations; transfer Covered Shares
held in employee benefit plans; and transfer Covered Shares in specific
transactions (for example, to immediate family members and trusts) or other
circumstances. The Shareholders' Committee permitted the transfers of Covered
Shares to the Estate Planning Covered Persons and the Transferee Covered
Persons, on the condition that each Estate Planning Covered Person and
Transferee Covered Person agree to become a party to the Shareholders'
Agreement and to be bound by the Partner Transfer Restrictions.
On July 31, 2000, the Shareholders' Committee waived the Partner
Transfer Restrictions solely to permit certain Covered Persons to pledge a
portion of their Covered Shares to obtain approximately $400,000,000 in loan
commitments to make investments from time to time in certain merchant banking
funds sponsored by GS Inc. The loan commitments are for five years, may be
drawn upon from time to time and generally require that any loans be
collateralized by shares of Common Stock with a market value four times that of
the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities
Exchange Act of 1934, as amended, the pledgees did not acquire beneficial
ownership of the pledged shares by virtue of the pledge.
The Shareholders' Committee and, in the case of the Hull Covered
Persons, the board of directors have waived the Partner Transfer Restrictions
to permit the sale of up to an aggregate of 7,897,714 Covered Shares by certain
Covered Persons during GS Inc.'s fiscal quarter ending November 24, 2000 under
the Rule 144 Program described in Item 4 above and in Annex C hereto.
In the case of a third-party tender or exchange offer, the Transfer
Restrictions may be waived or terminated: if the board of directors is
recommending acceptance or is not making any recommendation with respect to
acceptance of the tender or exchange offer, by a majority of the Voting
Interests (as defined below); or if the board of directors is recommending
rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting
Interests.
In the case of a tender or exchange offer by GS Inc., a majority of
the outstanding Voting Interests may also elect to waive or terminate the
Transfer Restrictions.
VOTING
Prior to any vote of the shareholders of GS Inc., the Shareholders'
Agreement requires a separate, preliminary vote of the Voting Interests on each
matter upon which a vote of the shareholders is proposed to be taken (the
"Preliminary Vote"). Each Covered Share held by an Employee Covered Person and
each other Covered Share subject to the Partner Transfer Restrictions will be
voted in accordance with the majority of the votes cast by the Voting Interests
in the Preliminary Vote. In elections of directors, each Covered Share will be
voted in favor of the election of those persons receiving the highest numbers of
votes cast by the Voting Interests in the Preliminary
39
<PAGE> 40
Vote. "Voting Interests" are Covered Shares beneficially owned by all Covered
Persons through December 31, 2000 and thereafter are Covered Shares beneficially
owned by all Employee Covered Persons.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits the Covered Persons from
engaging in certain activities relating to any securities of GS Inc. with any
person who is not a Covered Person or a director, officer or employee of GS
Inc. ("Restricted Persons"). Among other things, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
Covered Shares in a voting trust or subject any Covered Shares to any voting
agreement or arrangement that includes any Restricted Person; form, join or in
any way participate in a "group" with any Restricted Person; or together with
any Restricted Person, propose certain transactions with GS Inc. or seek the
removal of any directors of GS Inc. or any change in the composition of the
board of directors.
TERM, AMENDMENT AND CONTINUATION
The Shareholders' Agreement is to continue in effect until the earlier
of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the
outstanding Voting Interests. The Partner Transfer Restrictions will not
terminate upon the expiration or termination of the Shareholders' Agreement
unless previously waived or terminated or unless subsequently waived or
terminated by the board of directors. The Shareholders' Agreement may generally
be amended at any time by a majority of the outstanding Voting Interests.
Unless otherwise terminated, in the event of any transaction in which
a third party succeeds to the business of GS Inc. and in which Covered Persons
hold securities of the third party, the Shareholders' Agreement will remain in
full force and effect as to the securities of the third party, and the third
party shall succeed to the rights and obligations of GS Inc. under the
Shareholders' Agreement.
INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE
The Shareholders' Committee shall at any time consist of each of those
individuals who are both Employee Covered Persons and members of the board of
directors and who agree to serve as members of the Shareholders' Committee. If
there are less than three individuals who are both Employee Covered Persons and
members of the board of directors and who agree to serve as members of the
Shareholders' Committee, the Shareholders' Committee shall consist of each such
individual plus such additional individuals who are Employee Covered Persons
and who are selected pursuant to procedures established by the Shareholders'
Committee as shall assure a Shareholders' Committee of not less than three
members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr.,
Robert J. Hurst, John A. Thain and John L. Thornton are the members of the
Shareholders' Committee.
VOTING AGREEMENTS
Both SBCM and KAA have, in separate voting agreements, each dated
April 30, 1999 (each, a "Voting Agreement"), agreed to vote their shares of
Common Stock and all other voting securities of GS Inc. in the same manner as a
majority of the shares of Common Stock held by the managing directors of GS
Inc. are voted for so long as they hold voting securities of GS Inc. It is
expected that for so long as the Shareholders' Agreement remains in effect, the
Voting Agreements will result in the shares of Common Stock owned by SBCM and
KAA being voted in the same manner as the Covered Shares. The Covered Persons
are not parties to the Voting Agreements, and the Voting Agreements are not
enforceable by the Covered Persons, will continue to exist independent of the
existence of the Shareholders' Agreement and may be amended, waived or canceled
by GS Inc. without any consent or approval of the Covered Persons. The Voting
Agreements are filed as exhibits to this Schedule and the foregoing summary of
these agreements is qualified in its entirety by reference thereto.
Each Covered Person hereby disclaims beneficial ownership of the SBCM
Shares and the KAA Shares.
PLEDGE AGREEMENTS
Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or
other assets with an initial value equal to $15 million for each such person who
initially serves on the board of directors, the Management Committee or the
Partnership Committee of GS Inc. and $10 million for each other such person.
This pledge secures the
40
<PAGE> 41
liquidated damages provision of a noncompetition agreement which each such
person has entered into with GS Inc. The form of agreement relating to
noncompetition and other covenants and the form of pledge agreement, as amended,
are filed as exhibits to this Schedule and the foregoing summary of these
agreements is qualified in its entirety by reference thereto.
In connection with the transfers to the Corporate Estate Planning Covered
Persons, the IPO Pledge was replaced with a guarantee and pledge agreement that
was entered into by each Corporate Estate Planning Covered Person. In addition,
each Controlling Covered Person was required to pledge the capital stock of the
Corporate Estate Planning Covered Person to GS Inc. in order to further secure
the Controlling Covered Person's obligations under the noncompetition agreement.
The forms of the pledge agreements, as amended, are filed as exhibits to this
Schedule and the foregoing summary of these agreements is qualified in its
entirety by reference thereto.
REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS
In connection with the donation of shares of Common Stock to charitable
organizations discussed in footnote 4 on the cover page to this Schedule, GS
Inc. entered into a Registration Rights Instrument and Supplemental Registration
Rights Instrument (the "Charitable Supplement"). The following is a description
of the Registration Rights Instrument, as supplemented by the Charitable
Supplement. The Registration Rights Instrument and the Charitable Supplement are
filed as Exhibits to this Schedule, and the following summary of these
agreements is qualified in its entirety by reference thereto.
Pursuant to the Registration Rights Instrument and the Charitable
Supplement, GS Inc. has agreed to register the donated shares of Common Stock
for resale by charitable foundations and public charities. GS Inc. has agreed in
the Registration Rights Instrument and the Charitable Supplement to pay all of
the fees and expenses relating to the offering by the charitable organizations,
other than any agency fees and commissions or underwriting commissions or
discounts or any transfer taxes incurred by the charitable organizations in
connection with their resales. GS Inc. also has agreed to indemnify the
charitable organizations against certain liabilities, including those arising
under the Securities Act.
GS Inc. may amend the Registration Rights Instrument and the Charitable
Supplement in any manner that it deems appropriate, without the consent of any
charitable organization. However, GS Inc. may not make any amendment that would
cause the shares of Common Stock to fail to be "qualified appreciated stock"
within the meaning of Section 170 of the Internal Revenue Code. In addition, GS
Inc. may not make any amendment that would materially and adversely affect the
rights of any charitable organization without the consent of a majority of the
materially and adversely affected charitable organizations.
REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS
In connection with the sale by certain Covered Persons (the "Employee
Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to
the terms of restricted stock units, GS Inc. entered into a Supplemental
Registration Rights Instrument (the "EMD Supplement"), which supplements the
Registration Rights Instrument referred to above. The following is a description
of the Registration Rights Instrument, as supplemented by the EMD Supplement.
The Registration Rights Instrument and the EMD Supplement are filed as Exhibits
to this Schedule, and the following summary of these agreements is qualified in
its entirety by reference thereto.
Pursuant to the Registration Rights Instrument and the EMD Supplement, GS
Inc. has agreed to pay all of the fees and expenses relating to the registered
offering of shares of Common Stock held by the Employee Managing Directors,
other than any agency fees and commissions or underwriting commissions or
discounts or any transfer taxes incurred by the Employee Managing Directors in
connection with the sales. GS Inc. also has agreed to indemnify the Employee
Managing Directors against certain liabilities, including those arising under
the Securities Act.
41
<PAGE> 42
Item 7. Material to be Filed as Exhibits
<TABLE>
<CAPTION>
Exhibit Description
------- --------------------------------------------------------------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated
by reference to Exhibit A to the Schedule 13D filed May 17,
1999 (File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and
Sumitomo Bank Capital Markets, Inc. (incorporated by reference
to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as
Exhibit E), dated July 10, 2000 (incorporated by reference to
Exhibit F to Amendment No. 4 to the Initial Schedule 13D,
filed July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10, 1999
(incorporated by reference to Exhibit G to Amendment No. 1 to
the Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
H. Supplemental Registration Rights Instrument, dated as of
December 10, 1999 (incorporated by reference to Exhibit H to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (incorporated by reference to Exhibit I to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former
retired limited partners of The Goldman Sachs Group, L.P. who
are currently managing directors of The Goldman Sachs Group,
Inc. (incorporated by reference to Exhibit J to Amendment No.
2 to the Initial Schedule 13D, filed June 21, 2000 (File No.
005-56295)).
K. Form of Counterpart to Shareholders' Agreement for
non-individual former owners of Hull and Associates, L.L.C.
(incorporated by reference to Exhibit K to Amendment No. 3 to
the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File
No. 005-56295)).
</TABLE>
42
<PAGE> 43
<TABLE>
<S> <C>
N. Form of Guarantee and Pledge Agreement for non-U.S.
corporations (incorporated by reference to Exhibit N to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations (incorporated by reference to Exhibit O to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version) (incorporated by reference to
Exhibit P to Amendment No. 3 to the Initial Schedule 13D,
filed June 30, 2000 (File No. 005-56295)).
Q. Form of Counterpart to Shareholders' Agreement for Transferee
Covered Persons (incorporated by reference to Exhibit Q to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
R. Supplemental Registration Rights Instrument, dated as of June
19, 2000 (incorporated by reference to Exhibit R to Amendment
No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File
No. 005-56295)).
S. Supplemental Registration Rights Instrument, dated as of July
31, 2000 (incorporated by reference to Exhibit S to Amendment
No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File
No. 005-56295)).
T. Underwriting Agreement (U.S. Version), dated as of August 1,
2000 (incorporated by reference to Exhibit T to Amendment No.
5 to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
U. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
V. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit V to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
W. Form of Power of Attorney to be executed by Covered Persons
participating in the Rule 144 Program.
X. Power of Attorney (incorporated by reference to Exhibit I to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
</TABLE>
43
<PAGE> 44
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
COVERED PERSONS
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------------------------------------------------
CONVICTIONS OR
VIOLATIONS OF BENEFICIAL OWNERSHIP
FEDERAL OR STATE OF THE COMMON STOCK
LAWS WITHIN THE OF THE GOLDMAN SACHS
NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT LAST FIVE YEARS GROUP, INC.
----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Steven M. USA 85 Broad Street Managing Director, None Covered Person, so
Bunson New York, NY The Goldman ownership is as set
10004 Sachs Group, Inc. forth in or
incorporated into
Item 5 above.
----------------------------------------------------------------------------------------------------------------------------
Russell E. USA 85 Broad Street Managing Director, None Covered Person, so
Makowsky New York, NY The Goldman ownership is as set
10004 Sachs Group, Inc. forth in or
incorporated into
Item 5 above.
----------------------------------------------------------------------------------------------------------------------------
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
----------------------------------------------------------------------------------------------------------------------------
</TABLE>
44
<PAGE> 45
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
45
<PAGE> 46
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS
During GS Inc.'s fiscal quarter ending November 24, 2000, each of the Covered
Persons listed below intends to sell up to the number of shares of Common Stock
set forth opposite such Covered Person's name under the Rule 144 Program
referred to in Item 4 above.
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES
----------------------------------------------------------------------------------
<S> <C>
Bradley I. Abelow 15,628
----------------------------------------------------------------------------------
Paul M. Achleitner 70,000
----------------------------------------------------------------------------------
Jonathan R. Aisbitt 80,901
----------------------------------------------------------------------------------
Andrew M. Alper 50,000
----------------------------------------------------------------------------------
Armen A. Avanessians 25,000
----------------------------------------------------------------------------------
David Baum 16,145
----------------------------------------------------------------------------------
Ron E. Beller 34,081
----------------------------------------------------------------------------------
Lloyd C. Blankfein 90,173
----------------------------------------------------------------------------------
Peter L. Briger, Jr. 35,274
----------------------------------------------------------------------------------
Richard J. Bronks 17,218
----------------------------------------------------------------------------------
Lawrence R. Buchalter 27,318
----------------------------------------------------------------------------------
Michael J. Carr 20,342
----------------------------------------------------------------------------------
Christopher J. Carrera 17,048
----------------------------------------------------------------------------------
Mary Ann Casati 12,000
----------------------------------------------------------------------------------
Zachariah Cobrinik 27,922
----------------------------------------------------------------------------------
Abby Joseph Cohen 10,000
----------------------------------------------------------------------------------
Gary D. Cohn 44,792
----------------------------------------------------------------------------------
Christopher A. Cole 47,713
----------------------------------------------------------------------------------
Carlos A. Cordeiro 53,232
----------------------------------------------------------------------------------
Henry Cornell 53,595
----------------------------------------------------------------------------------
E. Gerald Corrigan 60,000
----------------------------------------------------------------------------------
Jon S. Corzine 183,863
----------------------------------------------------------------------------------
Claudio Costamagna 20,721
----------------------------------------------------------------------------------
Frank L. Coulson, Jr. 67,653
----------------------------------------------------------------------------------
Randolph L. Cowen 30,234
----------------------------------------------------------------------------------
Philip M. Darivoff 13,522
----------------------------------------------------------------------------------
Timothy D. Dattels 32,338
----------------------------------------------------------------------------------
Gavyn Davies 96,392
----------------------------------------------------------------------------------
David A. Dechman 16,943
----------------------------------------------------------------------------------
Joseph Della Rosa 50,046
----------------------------------------------------------------------------------
Alexander C. Dibelius 10,331
----------------------------------------------------------------------------------
John O. Downing 35,000
----------------------------------------------------------------------------------
Connie K. Duckworth 44,111
----------------------------------------------------------------------------------
Glenn P. Earle 31,505
----------------------------------------------------------------------------------
Paul S. Efron 17,410
----------------------------------------------------------------------------------
J. Michael Evans 43,148
----------------------------------------------------------------------------------
W. Mark Evans 70,000
----------------------------------------------------------------------------------
Pieter Maarten Feenstra 17,961
----------------------------------------------------------------------------------
David B. Ford 68,217
----------------------------------------------------------------------------------
</TABLE>
46
<PAGE> 47
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES
----------------------------------------------------------------------------------
<S> <C>
Edward C. Forst 14,292
----------------------------------------------------------------------------------
Christopher G. French 17,593
----------------------------------------------------------------------------------
Richard A. Friedman 97,235
----------------------------------------------------------------------------------
Joseph D. Gatto 30,000
----------------------------------------------------------------------------------
Peter C. Gerhard 52,826
----------------------------------------------------------------------------------
Nomi P. Ghez 40,947
----------------------------------------------------------------------------------
Joseph H. Gleberman 63,858
----------------------------------------------------------------------------------
Jacob D. Goldfield 56,427
----------------------------------------------------------------------------------
Amy O. Goodfriend 18,410
----------------------------------------------------------------------------------
Andrew M. Gordon 5,000
----------------------------------------------------------------------------------
Geoffrey T. Grant 29,874
----------------------------------------------------------------------------------
Eric P. Grubman 35,964
----------------------------------------------------------------------------------
Joseph D. Gutman 27,214
----------------------------------------------------------------------------------
Robert S. Harrison 35,332
----------------------------------------------------------------------------------
Thomas J. Healey 53,466
----------------------------------------------------------------------------------
Sylvain M. Hefes 71,210
----------------------------------------------------------------------------------
David B. Heller 20,000
----------------------------------------------------------------------------------
David L. Henle 15,000
----------------------------------------------------------------------------------
Mary C. Henry 31,752
----------------------------------------------------------------------------------
M. Roch Hillenbrand 15,000
----------------------------------------------------------------------------------
Jacquelyn M. Hoffman-Zehner 24,858
----------------------------------------------------------------------------------
Fern Hurst 10,000
----------------------------------------------------------------------------------
Robert J. Hurst 40,000
----------------------------------------------------------------------------------
Francis J. Ingrassia 38,549
----------------------------------------------------------------------------------
Reuben Jeffery III 64,180
----------------------------------------------------------------------------------
Stefan J. Jentzsch 9,759
----------------------------------------------------------------------------------
Chansoo Joung 20,069
----------------------------------------------------------------------------------
Ann F. Kaplan 59,669
----------------------------------------------------------------------------------
Scott B. Kapnick 59,333
----------------------------------------------------------------------------------
Robert J. Katz 45,000
----------------------------------------------------------------------------------
Douglas W. Kimmelman 22,890
----------------------------------------------------------------------------------
Bradford C. Koenig 35,301
----------------------------------------------------------------------------------
Jonathan L. Kolatch 37,596
----------------------------------------------------------------------------------
Peter S. Kraus 14,599
----------------------------------------------------------------------------------
David G. Lambert 23,773
----------------------------------------------------------------------------------
Thomas D. Lasersohn 17,224
----------------------------------------------------------------------------------
Lawrence H. Linden 58,248
----------------------------------------------------------------------------------
Robert Litterman 35,267
----------------------------------------------------------------------------------
Robert H. Litzenberger 10,671
----------------------------------------------------------------------------------
Jonathan M. Lopatin 32,729
----------------------------------------------------------------------------------
Michael R. Lynch 76,454
----------------------------------------------------------------------------------
Peter G. C. Mallinson 58,849
----------------------------------------------------------------------------------
Arthur S. Margulis, Jr. 10,436
----------------------------------------------------------------------------------
Ronald G. Marks 28,907
----------------------------------------------------------------------------------
Eff W. Martin 70,502
----------------------------------------------------------------------------------
John P. McNulty 95,969
----------------------------------------------------------------------------------
</TABLE>
47
<PAGE> 48
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES
----------------------------------------------------------------------------------
<S> <C>
E. Scott Mead 47,532
----------------------------------------------------------------------------------
Sanjeev K. Mehra 19,378
----------------------------------------------------------------------------------
T. Willem Mesdag 46,026
----------------------------------------------------------------------------------
Eric M. Mindich 60,021
----------------------------------------------------------------------------------
Masanori Mochida 81,520
----------------------------------------------------------------------------------
Karsten N. Moller 32,686
----------------------------------------------------------------------------------
Thomas K. Montag 40,000
----------------------------------------------------------------------------------
Robert B. Morris III 63,346
----------------------------------------------------------------------------------
Michael P. Mortara 103,831
----------------------------------------------------------------------------------
Sharmin Mossavar-Rahmani 67,631
----------------------------------------------------------------------------------
Edward A. Mule 50,830
----------------------------------------------------------------------------------
Thomas S. Murphy, Jr. 12,401
----------------------------------------------------------------------------------
Philip D. Murphy 20,000
----------------------------------------------------------------------------------
Avi M. Nash 11,000
----------------------------------------------------------------------------------
Daniel M. Neidich 72,019
----------------------------------------------------------------------------------
Kipp M. Nelson 33,652
----------------------------------------------------------------------------------
Robin Neustein 43,644
----------------------------------------------------------------------------------
Suzanne M. Nora Johnson 62,319
----------------------------------------------------------------------------------
Michael E. Novogratz 15,304
----------------------------------------------------------------------------------
Terence J. O'Neill 57,525
----------------------------------------------------------------------------------
Timothy J. O'Neill 68,302
----------------------------------------------------------------------------------
Donald C. Opatrny, Jr. 62,602
----------------------------------------------------------------------------------
Robert J. O'Shea 54,483
----------------------------------------------------------------------------------
Greg M. Ostroff 12,473
----------------------------------------------------------------------------------
Terence M. O'Toole 77,486
----------------------------------------------------------------------------------
Robert J. Pace 12,961
----------------------------------------------------------------------------------
Gregory K. Palm 38,117
----------------------------------------------------------------------------------
Scott M. Pinkus 55,395
----------------------------------------------------------------------------------
Timothy C. Plaut 37,633
----------------------------------------------------------------------------------
Wiet H. M. Pot 73,680
----------------------------------------------------------------------------------
John J. Powers 73,679
----------------------------------------------------------------------------------
Scott Prince 14,554
----------------------------------------------------------------------------------
Stephen D. Quinn 60,892
----------------------------------------------------------------------------------
Michael G. Rantz 33,571
----------------------------------------------------------------------------------
Girish V. Reddy 16,321
----------------------------------------------------------------------------------
Arthur J. Reimers III 41,228
----------------------------------------------------------------------------------
James P. Riley, Jr. 61,485
----------------------------------------------------------------------------------
Simon M. Robertson 48,000
----------------------------------------------------------------------------------
J. David Rogers 66,642
----------------------------------------------------------------------------------
Emmanuel Roman 17,473
----------------------------------------------------------------------------------
Ralph Rosenberg 13,073
----------------------------------------------------------------------------------
Stuart M. Rothenberg 31,738
----------------------------------------------------------------------------------
Michael S. Rubinoff 17,189
----------------------------------------------------------------------------------
Richard M. Ruzika 16,528
----------------------------------------------------------------------------------
Jeri Lynn Ryan 9,673
----------------------------------------------------------------------------------
John C. Ryan 18,000
----------------------------------------------------------------------------------
</TABLE>
48
<PAGE> 49
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES
----------------------------------------------------------------------------------
<S> <C>
Michael D. Ryan 14,107
----------------------------------------------------------------------------------
Richard A. Sapp 87,526
----------------------------------------------------------------------------------
Joseph Sassoon 54,154
----------------------------------------------------------------------------------
Muneer A. Satter 30,608
----------------------------------------------------------------------------------
Jonathan S. Savitz 10,430
----------------------------------------------------------------------------------
Peter Savitz 27,961
----------------------------------------------------------------------------------
Howard B. Schiller 33,028
----------------------------------------------------------------------------------
Antoine Schwartz 18,069
----------------------------------------------------------------------------------
Eric S. Schwartz 59,637
----------------------------------------------------------------------------------
Charles B. Seelig, Jr. 57,959
----------------------------------------------------------------------------------
Steven M. Shafran 25,236
----------------------------------------------------------------------------------
Richard S. Sharp 67,714
----------------------------------------------------------------------------------
James M. Sheridan 28,344
----------------------------------------------------------------------------------
Richard G. Sherlund 39,541
----------------------------------------------------------------------------------
Michael S. Sherwood 56,415
----------------------------------------------------------------------------------
Howard A. Silverstein 46,000
----------------------------------------------------------------------------------
Dinakar Singh 16,934
----------------------------------------------------------------------------------
Christian J. Siva-Jothy 17,390
----------------------------------------------------------------------------------
Cody J Smith 38,756
----------------------------------------------------------------------------------
Jonathan S. Sobel 16,896
----------------------------------------------------------------------------------
Marc A. Spilker 30,865
----------------------------------------------------------------------------------
Daniel W. Stanton 44,000
----------------------------------------------------------------------------------
Esta E. Stecher 39,033
----------------------------------------------------------------------------------
Cathrine S. Steck 13,010
----------------------------------------------------------------------------------
Fredric E. Steck 10,000
----------------------------------------------------------------------------------
Gene T. Sykes 25,000
----------------------------------------------------------------------------------
Mark R. Tercek 28,029
----------------------------------------------------------------------------------
Donald F. Textor 35,706
----------------------------------------------------------------------------------
John R. Tormondsen 26,319
----------------------------------------------------------------------------------
Leslie C. Tortora 65,742
----------------------------------------------------------------------------------
John L. Townsend III 55,384
----------------------------------------------------------------------------------
Byron D. Trott 37,898
----------------------------------------------------------------------------------
Robert B. Tudor III 17,303
----------------------------------------------------------------------------------
Thomas E. Tuft 73,909
----------------------------------------------------------------------------------
Malcolm B. Turnbull* 18,096
----------------------------------------------------------------------------------
John E. Urban 17,172
----------------------------------------------------------------------------------
Lee G. Vance 43,555
----------------------------------------------------------------------------------
David A. Viniar 74,341
----------------------------------------------------------------------------------
Barry S. Volpert 70,000
----------------------------------------------------------------------------------
Thomas B. Walker III 80,153
----------------------------------------------------------------------------------
George H. Walker IV 15,886
----------------------------------------------------------------------------------
Patrick J. Ward 102,590
----------------------------------------------------------------------------------
George W. Wellde, Jr. 49,880
----------------------------------------------------------------------------------
Anthony G. Williams 58,958
----------------------------------------------------------------------------------
</TABLE>
-----------------
* Includes shares held by a corporation wholly owned by the Covered Person.
49
<PAGE> 50
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES
----------------------------------------------------------------------------------
<S> <C>
Gary W. Williams 50,000
----------------------------------------------------------------------------------
Kendrick R. Wilson III 44,825
----------------------------------------------------------------------------------
Jon Winkelried 59,023
----------------------------------------------------------------------------------
Steven J. Wisch 10,000
----------------------------------------------------------------------------------
Richard E. Witten 70,528
----------------------------------------------------------------------------------
Tracy R. Wolstencroft 30,000
----------------------------------------------------------------------------------
Yasuyo Yamazaki 20,000
----------------------------------------------------------------------------------
Danny O. Yee 36,923
----------------------------------------------------------------------------------
Michael J. Zamkow 41,194
----------------------------------------------------------------------------------
Yoel Zaoui 20,749
----------------------------------------------------------------------------------
Gregory H. Zehner 25,672
----------------------------------------------------------------------------------
Joseph R. Zimmel 78,314
----------------------------------------------------------------------------------
Barry L. Zubrow 64,255
----------------------------------------------------------------------------------
Mark A. Zurack 30,871
----------------------------------------------------------------------------------
----------------------------------------------------------------------------------
TRUSTS
------
----------------------------------------------------------------------------------
Anahue Trust 10,500
----------------------------------------------------------------------------------
The Guapulo Trust 37,501
----------------------------------------------------------------------------------
Mark Dehnert Living Trust 3,499
----------------------------------------------------------------------------------
----------------------------------------------------------------------------------
PARTNERSHIPS
------------
----------------------------------------------------------------------------------
The Daniel G. Brennan Family Limited Partnership 5,365
----------------------------------------------------------------------------------
Mijen Family Partnership 9,570
----------------------------------------------------------------------------------
The Rizner Family Limited Partnership 8,025
----------------------------------------------------------------------------------
----------------------------------------------------------------------------------
CORPORATIONS
------------
----------------------------------------------------------------------------------
Majix Limited 32,739
----------------------------------------------------------------------------------
Melalula Limited 64,775
----------------------------------------------------------------------------------
</TABLE>
50
<PAGE> 51
ANNEX D
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS
On September 25, 2000, 20,709 shares of Common Stock will be delivered pursuant
to the terms of an equal number of restricted stock units, and stock options
covering 32,046 shares of Common Stock will vest and become exercisable, with
the underlying shares to be delivered upon the exercise of the relevant stock
options. Upon delivery, these shares of Common Stock will be Covered Shares.
51
<PAGE> 52
ANNEX E
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE
COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON
SCHEDULE 13D
The following sales of shares of Common Stock were made by the following Covered
Persons through Goldman, Sachs & Co. for cash on the New York Stock Exchange:
<TABLE>
<CAPTION>
--------------------------------------------------------------------------------------------
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
--------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Christopher K. Norton 8/22/00 50,000 $120.00
Gaetano J. Muzio 8/31/00 10,000 127.50
Gaetano J. Muzio 8/31/00 10,000 127.50
Gaetano J. Muzio 8/31/00 2,500 127.50
--------------------------------------------------------------------------------------------
</TABLE>
The following sales of shares of Common Stock were made by the following Covered
Persons through ChaseMellon Shareholder Services, L.L.C. for cash on the New
York Stock Exchange:
<TABLE>
<CAPTION>
--------------------------------------------------------------------------------------------
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
--------------------------------------------------------------------------------------------
<S> <C> <C> <C>
David M. Atkinson 9/20/00 1,969 $117.89
Isabelle Ealet 9/20/00 501 117.89
Isabelle Ealet 9/20/00 1,667 117.89
Michael C. Luethke 9/20/00 2,000 117.89
Jean-Luc Biamonti 9/21/00 2,000 112.69
Stephen C. Lichtenauer 9/21/00 1,000 112.69
Anthony John Reizenstein 9/21/00 1,600 112.69
Michael P. Esposito 9/22/00 1,200 110.95
--------------------------------------------------------------------------------------------
</TABLE>
52
<PAGE> 53
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: September 25, 2000
By: /s/ Gregory K. Palm
--------------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
53
<PAGE> 54
EXHIBIT INDEX
<TABLE>
<CAPTION>
Exhibit Description
------- --------------------------------------------------------------
<S> <C>
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated
by reference to Exhibit A to the Schedule 13D filed May 17,
1999 (File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and
Sumitomo Bank Capital Markets, Inc. (incorporated by reference
to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (the "IPO Pledge Agreement")
(incorporated by reference to Exhibit 10.21 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
F. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as
Exhibit E), dated July 10, 2000 (incorporated by reference to
Exhibit F to Amendment No. 4 to the Initial Schedule 13D,
filed July 11, 2000 (File No. 005-56295)).
G. Registration Rights Instrument, dated as of December 10, 1999
(incorporated by reference to Exhibit G to Amendment No. 1 to
the Initial Schedule 13D, filed December 17, 1999 (File No.
005-56295)).
H. Supplemental Registration Rights Instrument, dated as of
December 10, 1999 (incorporated by reference to Exhibit H to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
I. Form of Counterpart to Shareholders' Agreement for former
profit participating limited partners of The Goldman Sachs
Group, L.P. (incorporated by reference to Exhibit I to
Amendment No. 2 to the Initial Schedule 13D, filed June 21,
2000 (File No. 005-56295)).
J. Form of Counterpart to Shareholders' Agreement for former
retired limited partners of The Goldman Sachs Group, L.P. who
are currently managing directors of The Goldman Sachs Group,
Inc. (incorporated by reference to Exhibit J to Amendment No.
2 to the Initial Schedule 13D, filed June 21, 2000 (File No.
005-56295)).
K. Form of Counterpart to Shareholders' Agreement for
non-individual former owners of Hull and Associates, L.L.C.
(incorporated by reference to Exhibit K to Amendment No. 3 to
the Initial Schedule 13D, filed June 30, 2000 (File No.
005-56295)).
L. Form of Counterpart to Shareholders' Agreement for non-U.S.
corporations (incorporated by reference to Exhibit L to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
M. Form of Counterpart to Shareholders' Agreement for non-U.S.
trusts (incorporated by reference to Exhibit M to Amendment
No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File
No. 005-56295)).
N. Form of Guarantee and Pledge Agreement for non-U.S.
corporations (incorporated by reference to Exhibit N to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-
</TABLE>
54
<PAGE> 55
<TABLE>
<S> <C>
56295)).
O. Form of Pledge Agreement for shareholders of non-U.S.
corporations (incorporated by reference to Exhibit O to
Amendment No. 3 to the Initial Schedule 13D, filed June 30,
2000 (File No. 005-56295)).
P. Form of Pledge Agreement for shareholders of non-U.S.
corporations (Jersey version) (incorporated by reference to
Exhibit P to Amendment No. 3 to the Initial Schedule 13D,
filed June 30, 2000 (File No. 005-56295)).
Q. Form of Counterpart to Shareholders' Agreement for Transferee
Covered Persons (incorporated by reference to Exhibit Q to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
R. Supplemental Registration Rights Instrument, dated as of June
19, 2000 (incorporated by reference to Exhibit R to Amendment
No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File
No. 005-56295)).
S. Supplemental Registration Rights Instrument, dated as of July
31, 2000 (incorporated by reference to Exhibit S to Amendment
No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File
No. 005-56295)).
T. Underwriting Agreement (U.S. Version), dated as of August 1,
2000 (incorporated by reference to Exhibit T to Amendment No.
5 to the Initial Schedule 13D, filed August 2, 2000 (File No.
005-56295)).
U. Underwriting Agreement (International Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit U to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
V. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000 (incorporated by reference to Exhibit V to
Amendment No. 5 to the Initial Schedule 13D, filed August 2,
2000 (File No. 005-56295)).
W. Form of Power of Attorney to be executed by Covered Persons
participating in the Rule 144 Program.
X. Power of Attorney (incorporated by reference to Exhibit I to
Amendment No. 1 to the Initial Schedule 13D, filed December
17, 1999 (File No. 005-56295)).
</TABLE>
55
