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Previous: UNIVERSAL HOSPITAL SERVICES INC, 10-Q, EX-27, 2000-08-08 |
Next: GOLDMAN SACHS GROUP INC, SC 13D/A, 2000-08-08 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 6
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULE 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
The Goldman Sachs Group, Inc.
---------------------
(Name of Issuer)
Common Stock, par value $.01 per share
---------------------------
(Title of Class of Securities)
38141G 10 4
---------------------
(CUSIP Number)
Robert J. Katz
Gregory K. Palm
James B. McHugh
The Goldman Sachs Group, Inc.
85 Broad Street
New York, New York 10004
Telephone: (212) 902-1000
--------------------
(Name, Address and Telephone Number of Persons Authorized to
Receive Notices and Communications)
August 3, 2000
--------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
<PAGE> 2
<TABLE>
<CAPTION>
----------------------------------
CUSIP NO. 38141G 10 4 13D
----------------------------------
<S> <C> <C>
------------------------------------------------------------------------------------------------------------------------------
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 each
REPORTING person listed on Appendix A.)
PERSON 251,529,643 Covered Shares held by Covered Persons
WITH 5,109 Uncovered Shares held by Covered Persons(3)
1,510,376 Other Uncovered Shares held by Covered Persons(4)
10,987,710 shares held by KAA(5)
16,243,610 shares held by SBCM(5)/(6)
--------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Covered Shares, less than 1%
As to Uncovered Shares, as stated in Appendix A
--------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6):
As to Covered Shares, 0
As to Uncovered Shares, as stated in Appendix A
------------------------------------------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 253,045,128(7)
------------------------------------------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [x](7)
SHARES (Applies to each person listed on Appendix A.)
------------------------------------------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 56.6%(7)
------------------------------------------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the
caption "Trusts"; PN as to persons listed in Appendix A under the caption
"Partnerships"; CO as to persons listed in Appendix A under the caption
"Corporations"; IN as to all other persons listed in Appendix A.
---------------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 3.
(3) These are Uncovered Shares also described in Row 7 which each Covered
Person is deemed to beneficially own by application of Rule 13d-5(b)(1),
but do not include the Uncovered Shares described in note 4. Each Covered
Person disclaims beneficial ownership of Uncovered Shares held by each
other Covered Person.
(4) These are Uncovered Shares held by 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.
</TABLE>
2
<PAGE> 3
<TABLE>
<S> <C>
(5) For a definition of this term, please see Item 2. The Covered Persons may
be deemed to be members of a "group" with KAA and SBCM. Each Covered Person
disclaims beneficial ownership of shares of Common Stock held by KAA and
SBCM.
(6) The 16,243,610 shares held by SBCM include 7,440,362 shares of Nonvoting
Common Stock held by SBCM, which are immediately convertible into
Common Stock on a one-for-one basis. Please see the separate Schedule 13D
filed by SBCM and any amendments thereto for information relating to such
shares. Each Covered Person disclaims beneficial ownership as to the
Nonvoting Common Stock held by SBCM.
(7) Excludes 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.
</TABLE>
3
<PAGE> 4
APPENDIX A
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 0 0 0 0
Paul M. Achleitner Austria 0 0 0 0
Alberto F. Ades Argentina 0 0 0 0
Gregory A. Agran 0 0 0 0
Raanan A. Agus 0 0 0 0
Jonathan R. Aisbitt UK 0 0 0 0
Elliot M. Alchek 0 0 0 0
Andrew M. Alper 0 0 0 0
Philippe J. Altuzarra France 0 0 0 0
Lay Pheng Ang Singapore 0 0 0 0
Kazutaka P. Arai North Korea/
South Korea 0 0 0 0
David M. Atkinson UK 0 0 0 0
Mitchel J. August 0 0 0 0
Armen A. Avanessians 0 0 0 0
Dean C. Backer 0 0 0 0
Michiel J. Bakker The Netherlands 0 0 0 0
Mark E. Bamford 0 0 0 0
John S. Barakat 0 0 0 0
Barbara J. Basser-Bigio 0 0 0 0
Carl-Georg Bauer-Schlichtegroll Germany 0 0 0 0
David Baum 0 0 0 0
Patrick Y. Baune France 0 0 0 0
Robert A. Beckwitt 0 0 0 0
Jonathan A. Beinner 0 0 0 0
Ron E. Beller 0 0 0 0
Tarek M. Ben Halim Saudi Arabia 0 0 0 0
Jaime I. Bergel Spain 0 0 0 0
Milton R. Berlinski The Netherlands 0 0 0 0
Andrew S. Berman 0 0 0 0
Frances R. Bermanzohn 0 0 0 0
Stuart N. Bernstein 0 0 0 0
Robert A. Berry UK 0 0 0 0
Jean-Luc Biamonti Monaco 0 0 0 0
James J. Birch UK 0 0 0 0
Lloyd C. Blankfein 0 0 0 0
David W. Blood 0 0 0 0
Randall A. Blumenthal 0 0 0 0
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
David R. Boles 0 0 0 0
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
Charles C. Bradford III 0 0 0 0
Benjamin S. Bram 0 0 0 0
Thomas C. Brasco 0 0 0 0
Daniel G. Brennan 0 0 0 0
Peter L. Briger, Jr. 0 0 0 0
Craig W. Broderick 0 0 0 0
Richard J. Bronks UK 0 0 0 0
Charles K. Brown UK 0 0 0 0
James K. Brown 0 0 0 0
Peter D. Brundage 0 0 0 0
Sholom Bryski 0 0 0 0
John J. Bu 0 0 0 0
Lawrence R. Buchalter 0 0 0 0
Mark J. Buisseret UK 0 0 0 0
Steven M. Bunson 0 0 0 0
Timothy B. Bunting UK 0 0 0 0
Andrew J. Burke-Smith Canada 0 0 0 0
Calvert C. Burkhart 0 0 0 0
Michael S. Burton UK 0 0 0 0
George H. Butcher III 0 0 0 0
Mary D. Byron 0 0 0 0
Lawrence V. Calcano 0 0 0 0
Elizabeth V. Camp 0 0 0 0
John D. Campbell 0 0 0 0
Laurie G. Campbell Canada 0 0 0 0
Richard M. Campbell-Breeden UK 0 0 0 0
Carmine C. Capossela 0 0 0 0
Mark M. Carhart 0 0 0 0
Anthony H. Carpet 0 0 0 0
Michael J. Carr 0 0 0 0
Christopher J. Carrera 0 0 0 0
Virginia E. Carter 0 0 0 0
Calvin R. Carver, Jr. 0 0 0 0
Mary Ann Casati 0 0 0 0
Chris Casciato 0 0 0 0
Douglas W. Caterfino 0 0 0 0
Michael J. Certo 0 0 0 0
Varkki P. Chacko USA/India 0 0 0 0
David K. Chang Taiwan 0 0 0 0
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Thomas P. Chang 0 0 0 0
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
Robert J. Christie 0 0 0 0
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Abby Joseph Cohen 0 0 0 0
Lawrence H. Cohen 0 0 0 0
Marc I. Cohen 0 0 0 0
Gary D. Cohn 0 0 0 0
Christopher A. Cole 0 0 0 0
Timothy J. Cole 0 0 0 0
Laura C. Conigliaro 0 0 0 0
Liam Connell 0 0 0 0
Thomas G. Connolly Ireland/USA 0 0 0 0
Frank T. Connor 0 0 0 0
Donna L. Conti 0 0 0 0
Karen R. Cook UK 0 0 0 0
Edith W. Cooper 0 0 0 0
Philip A. Cooper 0 0 0 0
Carlos A. Cordeiro 0 0 0 0
Henry Cornell 0 0 0 0
E. Gerald Corrigan 0 0 0 0
Jon S. Corzine 0 0 0 0
Claudio Costamagna Italy 0 0 0 0
Frank L. Coulson, Jr. 0 0 0 0
Kenneth Courtis 0 0 0 0
Randolph L. Cowen 0 0 0 0
Neil D. Crowder 0 0 0 0
Eduardo A. Cruz 0 0 0 0
John P. Curtin, Jr. 0 0 0 0
John W. Curtis 0 0 0 0
Stephen C. Daffron 0 0 0 0
John S. Daly Ireland 0 0 0 0
Philip M. Darivoff 0 0 0 0
Matthew S. Darnall 0 0 0 0
Timothy D. Dattels Canada 0 0 0 0
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Gavyn Davies UK 0 0 0 0
Michael G. De Lathauwer Belgium 0 0 0 0
David A. Dechman 0 0 0 0
Mark Dehnert 0 0 0 0
Paul C. Deighton UK 0 0 0 0
James Del Favero Australia 0 0 0 0
Juan A. Del Rivero Spain 0 0 0 0
Robert V. Delaney, 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
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Glenn D. Engel 0 0 0 0
Davide G. Erro Italy 0 0 0 0
Michael P. Esposito 0 0 0 0
George C. Estey Canada 0 0 0 0
Mark D. Ettenger 0 0 0 0
Bruce J. Evans 0 0 0 0
J. Michael Evans Canada 0 0 0 0
W. Mark Evans Canada 0 0 0 0
Charles P. Eve UK 0 0 0 0
Brian F. Farr 0 0 0 0
Elizabeth C. Fascitelli 0 0 0 0
Jeffrey F. Fastov 0 0 0 0
Pieter Maarten Feenstra The Netherlands 0 0 0 0
Steven M. Feldman 0 0 0 0
Laurie R. Ferber 0 0 0 0
Robert P. Fisher, Jr. 0 0 0 0
Lawton W. Fitt 0 0 0 0
Stephen C. Fitzgerald Australia 0 0 0 0
Thomas M. Fitzgerald III 0 0 0 0
Daniel M. Fitzpatrick 0 0 0 0
James A. Fitzpatrick 0 0 0 0
David N. Fleischer 0 0 0 0
David B. Ford 0 0 0 0
Edward C. Forst 0 0 0 0
George B. Foussianes 0 0 0 0
Oliver L. Frankel 0 0 0 0
Matthew T. Fremont-Smith 0 0 0 0
Christopher G. French UK 0 0 0 0
Richard A. Friedman 0 0 0 0
Matthias K. Frisch Switzerland 0 0 0 0
C. Douglas Fuge 0 0 0 0
Shirley Fung UK 0 0 0 0
Joseph D. Gatto 0 0 0 0
Emmanuel Gavaudan France 0 0 0 0
Nicholas J. Gaynor UK 0 0 0 0
Eduardo B. Gentil 0 0 0 0
Peter C. Gerhard 0 0 0 0
Nomi P. Ghez Israel/USA 0 0 0 0
Scott A. Gieselman 0 0 0 0
H. John Gilbertson, Jr. 0 0 0 0
</TABLE>
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Jeffrey B. Goldenberg 0 2,860(8) 0 2,860(8)
Jacob D. Goldfield 0 0 0 0
James S. Golob 0 0 0 0
Amy O. Goodfriend 0 0 0 0
Jay S. Goodgold 0 0 0 0
Andrew M. Gordon 0 0 0 0
Anthony J. Gordon 0 0 0 0
Robert D. Gottlieb 0 0 0 0
Frank J. Governali 0 0 0 0
Lorenzo Grabau Italy 0 0 0 0
Geoffrey T. Grant 0 0 0 0
William M. Grathwohl 0 0 0 0
David J. Greenwald 0 0 0 0
Louis S. Greig UK 0 0 0 0
Peter W. Grieve 0 0 0 0
Christopher Grigg UK 0 0 0 0
Douglas C. Grip 0 0 0 0
Eric P. Grubman 0 0 0 0
Celeste A. Guth 0 0 0 0
Joseph D. Gutman 0 0 0 0
Erol Hakanoglu Turkey 0 0 0 0
Roger C. Harper 0 0 0 0
Charles T. Harris III 0 0 0 0
Robert S. Harrison 0 0 0 0
Shelley A. Hartman 0 0 0 0
Paul R. Harvey 0 0 0 0
Arthur J. Hass 0 0 0 0
Nobumichi Hattori Japan 0 0 0 0
Stephen J. Hay UK 0 0 0 0
Walter H. Haydock 0 0 0 0
Isabelle Hayen Belgium 0 0 0 0
Keith L. Hayes UK 0 0 0 0
Thomas J. Healey 0 0 0 0
John P. Heanue 0 0 0 0
Robert C. Heathcote UK 0 0 0 0
</TABLE>
---------------------------------
(8) Shared with family members.
9
<PAGE> 10
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Sylvain M. Hefes France 0 0 0 0
David B. Heller 0 0 0 0
Steven M. Heller 0 0 0 0
R. Douglas Henderson 0 0 0 0
David L. Henle 0 0 0 0
Mary C. Henry 0 0 0 0
Raimund W. Herden Germany 0 0 0 0
Bruce A. Heyman 0 0 0 0
Robert E. Higgins 0 0 0 0
Joanne M. Hill 0 0 0 0
M. Roch Hillenbrand 0 0 0 0
Maykin Ho 0 0 0 0
Timothy E. Hodgson Canada 0 0 0 0
Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0
Christopher G. Hogg New Zealand/USA 0 0 0 0
Daniel E. Holland III 0 0 0 0
Teresa E. Holliday 0 0 0 0
Gregory T. Hoogkamp 0 0 0 0
Thomas J. Hopkins 0 0 0 0
Robert D. Hormats 0 0 0 0
Robert G. Hottensen, Jr. 0 0 0 0
Michael R. Housden UK 0 0 0 0
Paul J. Huchro 0 0 0 0
James A. Hudis 0 0 0 0
Terry P. Hughes Ireland 0 0 0 0
Bimaljit S. Hundal UK 0 0 0 0
Edith A. Hunt 0 0 0 0
Susan J. Hunt UK 0 0 0 0
Fern Hurst 0 0 0 0
Robert J. Hurst 0 0 0 0
Toni Infante 0 0 0 0
Francis J. Ingrassia 0 0 0 0
Timothy J. Ingrassia 0 0 0 0
Masahiro Iwano Japan 0 0 0 0
Raymond J. Iwanowski 0 0 0 0
William L. Jacob III 0 0 0 0
Mark M. Jacobs 0 0 0 0
Richard I. Jaffee 0 0 0 0
Reuben Jeffery III 0 0 0 0
Stefan J. Jentzsch Germany 0 0 0 0
Dan H. Jester 0 0 0 0
Daniel J. Jick 0 0 0 0
Robert H. Jolliffe UK 0 0 0 0
Andrew J. Jonas 0 0 0 0
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
Robert C. Jones 0 0 0 0
Chansoo Joung 0 0 0 0
Andrew J. Kaiser 0 0 0 0
Ann F. Kaplan 21 0 21 0
Barry A. Kaplan 0 0 0 0
David A. Kaplan 0 0 0 0
Jason S. Kaplan 0 0 0 0
Robert S. Kaplan 0 0 0 0
Scott B. Kapnick 0 0 0 0
Erland S. Karlsson Sweden 0 0 0 0
James M. Karp 0 0 0 0
Richard Katz 0 0 0 0
Robert J. Katz 0 0 0 0
Sofia Katzap 0 0 0 0
David K. Kaugher 0 0 0 0
Tetsuya Kawano Japan 0 0 0 0
R. Mark Keating 0 0 0 0
John L. Kelly 0 0 0 0
Kevin W. Kennedy 0 0 0 0
Thomas J. Kenny 0 0 0 0
Lawrence S. Keusch 0 0 0 0
Rustom N. Khandalavala 0 0 0 0
Peter D. Kiernan III 0 0 0 0
James T. Kiernan, Jr. 0 0 0 0
Sun Bae Kim Canada 0 0 0 0
Douglas W. Kimmelman 0 0 0 0
Colin E. King Canada 0 0 0 0
Robert C. King, Jr. 0 0 0 0
Adrian P. Kingshott UK 0 0 0 0
Timothy M. Kingston 0 0 0 0
Lincoln Kinnicutt 0 0 0 0
Ewan M. Kirk UK 0 0 0 0
Daniel H. Klebes II 0 0 0 0
Michael K. Klingher 0 0 0 0
Craig A. Kloner 0 0 0 0
Jonathan R. Knight UK 0 0 0 0
</TABLE>
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
Bradford C. Koenig 0 0 0 0
Mark J. Kogan 0 0 0 0
Stanley Kogelman 0 0 0 0
Jonathan L. Kolatch 0 0 0 0
Richard E. Kolman 0 0 0 0
David J. Kostin 0 0 0 0
Koji Kotaka Japan 0 0 0 0
Peter S. Kraus 0 15(9) 0 15(9)
Lawrence Kutscher 0 0 0 0
Christoph M. Ladanyi Austria 0 0 0 0
Peggy A. Lamb 0 0 0 0
David G. Lambert 0 0 0 0
Thomas K. Lane 0 0 0 0
Pierre F. Lapeyre, Jr. 0 0 0 0
Bruce M. Larson 0 0 0 0
Thomas D. Lasersohn 0 0 0 0
Anthony D. Lauto 0 0 0 0
John J. Lauto 0 0 0 0
Matthew Lavicka 0 0 0 0
David N. Lawrence 0 0 0 0
Peter Layton 0 0 0 0
Susan R. Leadem 0 0 0 0
Andrew D. Learoyd UK 0 0 0 0
Chang-Ho J. Lee USA/South Korea 0 0 0 0
Donald C. Lee 0 0 0 0
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Paulo C. Leme 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 0 0 0 0
Thomas B. Lewis, Jr. 0 0 0 0
Mark E. Leydecker 0 0 0 0
Matthew G. L'Heureux 0 0 0 0
Gwen R. Libstag 0 0 0 0
Stephen C. Lichtenauer 0 0 0 0
Roger A. Liddell UK 0 0 0 0
Richard J. Lieb 0 0 0 0
Mitchell J. Lieberman 0 0 0 0
Syaru Shirley Lin 0 0 0 0
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Robert Litterman 0 0 0 0
</TABLE>
--------------------------------
(9) Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
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 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
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
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 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
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 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
Robert J. O'Shea 0 0 0 0
Joel D. Ospa 0 0 0 0
Greg M. Ostroff 0 0 0 0
Terence M. O'Toole 0 0 0 0
Robert J. Pace 0 0 0 0
Robert N. Packer 0 0 0 0
Gregory K. Palm 0 0 0 0
Mukesh K. Parekh 0 0 0 0
Geoffrey M. Parker 0 0 0 0
Melissa B. Patrusky 0 0 0 0
Henry M. Paulson, Jr. 0 0 0 0
David B. Philip 0 0 0 0
Paul A. Phillips 0 0 0 0
Alberto M. Piedra, Jr. 0 0 0 0
Stephen R. Pierce 0 0 0 0
Philip J. Pifer 0 0 0 0
Scott M. Pinkus 0 0 0 0
Timothy C. Plaut Germany 0 0 0 0
Andrea Ponti Italy/USA 0 0 0 0
Ellen R. Porges 0 0 0 0
Wiet H. M. Pot The Netherlands 0 0 0 0
Michael J. Poulter UK 0 0 0 0
John J. Powers 0 0 0 0
Richard H. Powers 0 0 0 0
Michael A. Price 0 0 0 0
Scott Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 0 0 0
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
John J. Rafter Ireland 0 0 0 0
Jonathan Raleigh 0 0 0 0
Dioscoro-Roy I. Ramos Phillippines 0 0 0 0
Gregory G. Randolph 0 0 0 0
Charlotte P. Ransom UK 0 0 0 0
Michael G. Rantz 0 0 0 0
Joseph Ravitch 0 0 0 0
Girish V. Reddy 0 0 0 0
Arthur J. Reimers III 0 0 0 0
Anthony John Reizenstein UK 0 0 0 0
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John Rizner 0 0 0 0
Simon M. Robertson UK 0 0 0 0
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
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 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
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 8(10) 0 8(10)
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
Robert S. Stellato 0 0 0 0
Joseph P. Stevens 0 0 0 0
Raymond S. Stolz 0 0 0 0
Steven H. Strongin 0 0 0 0
Andrew J. Stuart Australia 0 0 0 0
</TABLE>
----------------------------------
(10) Shared with family members.
18
<PAGE> 19
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE 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>
Patrick Sullivan 0 0 0 0
Hsueh J. Sung Taiwan 0 0 0 0
George M. Suspanic Spain 0 0 0 0
Peter D. Sutherland S.C. Ireland 0 0 0 0
Andrew M. Swinburne UK 0 0 0 0
Gene T. Sykes 0 0 0 0
Shahriar Tadjbakhsh 0 0 0 0
Ronald K. Tanemura UK/USA 0 0 0 0
John H. Taylor 0 0 0 0
Robert E. Taylor 0 0 0 0
Greg W. Tebbe 0 0 0 0
Kiyotaka Teranishi Japan 0 0 0 0
Mark R. Tercek 0 0 0 0
Donald F. Textor 0 0 0 0
John A. Thain 0 0 0 0
Darren S. Thompson 0 0 0 0
John L. Thornton 0 0 0 0
Rory T. Tobin Ireland 0 0 0 0
Daisuke Toki Japan 0 0 0 0
Massimo Tononi Italy 0 0 0 0
John R. Tormondsen 0 0 0 0
Leslie C. Tortora 0 0 0 0
John L. Townsend III 0 0 0 0
Mark J. Tracey UK 0 0 0 0
Stephen S. Trevor 0 0 0 0
Byron D. Trott 0 0 0 0
Michael A. Troy 0 0 0 0
Donald J. Truesdale 0 0 0 0
Robert B. Tudor III 0 0 0 0
Thomas E. Tuft 0 0 0 0
John Tumilty UK 0 0 0 0
Barry S. Turkanis 0 0 0 0
Malcolm B. Turnbull Australia 554 0 554 0
Christopher H. Turner 0 0 0 0
Thomas B. Tyree, Jr. 0 0 0 0
Harkanwar Uberoi India 0 0 0 0
Kaysie P. Uniacke 0 0 0 0
John E. Urban 0 0 0 0
Hugo H. Van Vredenburch The Netherlands 0 0 0 0
Lee G. Vance 0 0 0 0
Corrado P. Varoli Canada 0 0 0 0
John J. Vaske 0 0 0 0
</TABLE>
19
<PAGE> 20
<TABLE>
<CAPTION>
ITEM 6 ITEM 8 ITEM 10
CITIZENSHIP ITEM 7 SHARED ITEM 9 SHARED
(UNITED STATES SOLE VOTING VOTING SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF POWER OF POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED
PERSONS INDICATED) SHARES SHARES SHARES SHARES
------------------- --------------- ------------- ----------- --------------- --------------
<S> <C> <C> <C> <C> <C>
David A. Viniar 0 0 0 0
Barry S. Volpert 0 0 0 0
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
Berent A. Wallendahl Norway 0 0 0 0
David R. Walton UK 0 0 0 0
Hsueh-Ming Wang 0 0 0 0
Patrick J. Ward 0 0 0 0
Haruko Watanuki Japan 0 0 0 0
Edward F. Watts, Jr. 0 300(11) 0 300(11)
David M. Weil 0 0 0 0
John S. Weinberg 0 0 0 0
Peter A. Weinberg 0 0 0 0
Helge Weiner-Trapness Sweden 0 0 0 0
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 0 0 0 0
Bradley W. Wendt 0 0 0 0
Lance N. West 0 0 0 0
Peter Wheeler UK 0 0 0 0
Barbara A. White 0 0 0 0
A. Carver Wickman 0 0 0 0
Susan A. Willetts 0 0 0 0
Anthony G. Williams UK 0 0 0 0
Christopher G. Williams UK 0 0 0 0
Gary W. Williams 0 0 0 0
Todd A. Williams 0 0 0 0
John S. Willian 0 0 0 0
Kenneth W. Willman 0 0 0 0
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New 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/ 0 0 0 0
China (PRC)
Richard A. Yacenda 0 0 0 0
Tetsufumi Yamakawa Japan 0 0 0 0
Yasuyo Yamazaki Japan 11 0 11 0
Anne Yang 0 0 0 0
Xiang-Dong Yang China (PRC) 0 0 0 0
</TABLE>
-------------------------------------
(11) Shared with family members.
20
<PAGE> 21
<TABLE>
<CAPTION>
ITEM 1 ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10
NAMES OF REPORTING CITIZENSHIP SOLE VOTING SHARED SOLE SHARED
PERSONS (UNITED STATES POWER OF VOTING POWER DISPOSITIVE DISPOSITIVE
------------------ UNLESS UNCOVERED OF UNCOVERED POWER OF POWER OF
OTHERWISE SHARES SHARES UNCOVERED UNCOVERED
INDICATED) ------------- ------------- SHARES SHARES
----------------- --------------- --------------
<S> <C> <C> <C> <C> <C>
Danny O. Yee 0 0 0 0
Jaime E. Yordan 0 0 0 0
W. Thomas York, Jr. 0 0 0 0
Paul M. Young 0 0 0 0
Richard M. Young 0 0 0 0
Michael J. Zamkow 0 35(12) 0 35(12)
Paolo Zannoni Italy 0 0 0 0
Yoel Zaoui France 0 0 0 0
Gregory H. Zehner 0 0 0 0
Jide J. Zeitlin 0 0 0 0
Joan H. Zief 0 0 0 0
Joseph R. Zimmel 0 0 0 0
James P. Ziperski 0 0 0 0
Barry L. Zubrow 0 0 0 0
Mark A. Zurack 0 0 0 0
Shares held by 88 private N/A 0 1,510,376 0 1,510,376
charitable foundations
established by 88 Covered Persons
each of whom is a co-trustee of
one or more of such private
charitable foundations(13)
</TABLE>
------------------------------------
(12) Shared with family members.
(13) Each Covered Person disclaims beneficial ownership of all such shares of
Common Stock.
21
<PAGE> 22
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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>
TRUSTS
------
2000 Carlos A. Cordeiro
Grantor Retained
Annuity Trust 0 0 0 0
2000 Danny O. Yee
Grantor Retained
Annuity Trust 0 0 0 0
2000 Douglas W. Kimmelman
Grantor Retained
Annuity Trust 0 0 0 0
2000 Girish V. Reddy
Grantor Retained
Annuity Trust 0 0 0 0
2000 James M. Sheridan
Grantor Retained
Annuity Trust 0 0 0 0
2000 John A. Thain
Grantor Retained
Annuity Trust 0 0 0 0
2000 Kipp M. Nelson
Grantor Retained
Annuity Trust 0 0 0 0
2000 Mary Ann Casati
Grantor Retained
Annuity Trust 0 0 0 0
2000 Michael E. Novogratz
Grantor Retained
Annuity Trust 0 0 0 0
2000 Scott S. Prince
Grantor Retained
Annuity Trust 0 0 0 0
The Abby Joseph Cohen
2000 Annuity Trust I 0 0 0 0
The Abby Joseph Cohen
2000 Family Trust 0 0 0 0
The Adina R. Lopatin
2000 Trust 0 0 0 0
The Alexander H. Witten
2000 Trust 0 0 0 0
The Alexander I.
Berlinski 2000 Trust 0 0 0 0
The Alexander
Litzenberger 2000
Grantor Retained
Annuity Trust 0 0 0 0
</TABLE>
22
<PAGE> 23
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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
Litzenberger
Remainder Trust 0 0 0 0
The Alexandra D. Steel
2000 Trust 0 0 0 0
The Alexis Blood 2000
Trust 0 0 0 0
The Alyssa Blood 2000
Trust 0 0 0 0
The Amanda Liann Mead
2000 Trust 0 0 0 0
Anahue Trust Jersey 0 0 0 0
Andrew L. Fippinger-
Millennium Trust 0 0 0 0
The Andrew M Alper
2000 Annuity Trust I 0 0 0 0
The Andrew M. Gordon
2000 Family Trust 0 0 0 0
Ann F. Kaplan Two Year
Trust Dated June 2000 0 0 0 0
The Anne R. Witten 2000
Trust 0 0 0 0
The Anne Sullivan Wellde
2000 Trust 0 0 0 0
The Anthony D. Lauto
2000 Annuity Trust I 0 0 0 0
The Anthony D. Lauto
2000 Family Trust 0 0 0 0
The Arthur J. Reimers, III
Defective Trust 2000 Connecticut 0 0 0 0
Arthur J. Reimers, III
Grantor Retained
Annuity Trust 2000 Connecticut 0 0 0 0
The Avi M. Nash 2000
Annuity Trust I 0 0 0 0
The Avi M. Nash 2000
Family Trust 0 0 0 0
The Bari Marissa
Schwartz 2000 Trust 0 0 0 0
Barry A. Kaplan 2000
Family Trust 0 0 0 0
Barry A. Kaplan 2000
GRAT 0 0 0 0
The Barry L. Zubrow
2000 Annuity Trust I 0 0 0 0
The Barry L. Zubrow
2000 Family Trust 0 0 0 0
</TABLE>
23
<PAGE> 24
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Benjamin H.
Sherlund 2000 Trust 0 0 0 0
The Benjamin Kraus 2000
Trust 0 0 0 0
The Bradley Abelow
Family 2000 Trust 0 0 0 0
The Caceres Novogratz
Family Trust 0 0 0 0
The Carlos A. Cordeiro
Trust 0 0 0 0
The Charlotte Steel 2000
Trust 0 0 0 0
The Charlotte Textor 2000
Trust 0 0 0 0
The Christopher A. Cole
2000 Annuity Trust I 0 0 0 0
The Christopher A. Cole
2000 Family Trust 0 0 0 0
The Christopher K.
Norton 2000 Family
Trust 0 0 0 0
The Christopher
Palmisano 2000
Grantor Retained
Annuity Trust 0 0 0 0
The Christopher
Palmisano Remainder
Trust 0 0 0 0
The Christopher Ryan
Tortora 2000 Trust 0 0 0 0
The Cody J Smith 2000
Annuity Trust I 0 0 0 0
The Cody J Smith 2000
Family Trust 0 0 0 0
The Connie K. Duckworth
2000 Annuity Trust I 0 0 0 0
The Connie K. Duckworth
2000 Family Trust 0 0 0 0
The Constance A.
Haydock 2000 Trust 0 0 0 0
The Daniel Alexander
Schwartz 2000 Trust 0 0 0 0
The Daniel M. Neidich
2000 Annuity Trust I 0 0 0 0
The Daniel W. Stanton
2000 Annuity Trust I 0 0 0 0
The Daniel W. Stanton, II
2000 Trust 0 0 0 0
</TABLE>
24
<PAGE> 25
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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
Annuity Trust DTD as
of 6/16/2000 Pennsylvania 0 0 0 0
The David B. Heller 2000
Annuity Trust I 0 0 0 0
The David B. Heller 2000
Family Trust 0 0 0 0
The David G. Lambert
2000 Annuity Trust I 0 0 0 0
The David G. Lambert
2000 Family Trust 0 0 0 0
The David L. Henle 2000 Annuity
Trust I 0 0 0 0
The David L. Henle 2000 Family
Trust 0 0 0 0
The David M. Baum Family 2000
Trust New Jersey 0 0 0 0
The David Viniar 2000 Annuity
Trust I 0 0 0 0
The David W. Blood 2000 Annuity
Trust I 0 0 0 0
The Donald F. Textor 2000 Annuity
Trust I 0 0 0 0
The Douglas W. Kimmelman Trust 0 0 0 0
The Eaddy Adele Kiernan 2000 Trust 0 0 0 0
The Edward C. Forst 2000 Annuity
Trust I 0 0 0 0
The Edward C. Forst 2000 Family
Trust 0 0 0 0
The Edward Scott Mead 2000
Annuity Trust I 0 0 0 0
Eff Warren Martin 2000 Childrens
Trust California 0 0 0 0
Eff Warren Martin 2000 Grantor
Retained Annuity Trust California 0 0 0 0
The Elizabeth Anne Corrigan 2000
Trust 0 0 0 0
The Elizabeth H. Coulson 2000
Trust 0 0 0 0
The Elizabeth L. Heller 2000 Trust 0 0 0 0
The Elizabeth Lin Mead 2000 Trust 0 0 0 0
</TABLE>
25
<PAGE> 26
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Elizabeth M. Stanton 2000
Trust 0 0 0 0
The Elizabeth Steel 2000 Trust 0 0 0 0
The Ellie Dorit Neustein 2000
Trust 0 0 0 0
The Emily Austen Katz 2000 Trust 0 0 0 0
The Emily Stecher 2000 Trust 0 0 0 0
The Emma M.L. Mead 2000 Trust 0 0 0 0
The Eric Fithian 2000 Trust 0 0 0 0
The Erin Marie Tormondsen 2000
Trust 0 0 0 0
The Esta Eiger Stecher 2000
Annuity Trust I 0 0 0 0
The Francis J. Ingrassia 2000
Annuity Trust I 0 0 0 0
The Francis J. Ingrassia 2000
Family Trust 0 0 0 0
The Frank L. Coulson III 2000
Trust 0 0 0 0
The Fredric E. Steck 2000 Annuity
Trust I 0 0 0 0
The Fredric E. Steck 2000 Family
Trust 0 0 0 0
Gary D. Cohn 2000 Family Trust 0 0 0 0
Gary D. Cohn 2000 GRAT 0 0 0 0
The Geoffrey T. Grant 2000 Family
Trust 0 0 0 0
The George H. Walker 2000 Annuity
Trust I 0 0 0 0
The George H. Walker 2000 Family
Trust 0 0 0 0
The George W. Wellde, Jr. 2000
Annuity Trust I 0 0 0 0
The George William Wellde, III
2000 Trust 0 0 0 0
Ghez 2000 GRAT 0 0 0 0
Ghez 2000 Non-GST-Exempt Trust 0 0 0 0
</TABLE>
26
<PAGE> 27
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Annuity Trust
I 0 0 0 0
The Goldenberg 2000 Family Trust 0 0 0 0
The Greg M. Ostroff 2000 Annuity
Trust I 0 0 0 0
The Greg M. Ostroff 2000 Family
Trust 0 0 0 0
The Gregory H. Zehner 2000
Annuity Trust I 0 0 0 0
The Gregory H. Zehner 2000 Family
Trust 0 0 0 0
The Gregory K. Palm 2000 Annuity
Trust I 0 0 0 0
The Gregory K. Palm 2000 Family
Trust 0 0 0 0
The Guapulo Trust Jersey 0 0 0 0
The Howard A. Silverstein 2000
Annuity Trust I 0 0 0 0
The Howard A. Silverstein 2000
Family Trust 0 0 0 0
The Howard B. Schiller 2000
Annuity Trust I 0 0 0 0
The Isabelle M.L. Mead 2000 Trust 0 0 0 0
The J. David Rogers 2000 Annuity
Trust I 0 0 0 0
The James Alexander Mead 2000
Trust 0 0 0 0
The James M. Sheridan Trust 0 0 0 0
The James Nicholas Katz 2000 Trust 0 0 0 0
James P. Riley, Jr. 2000 Family
Trust 0 0 0 0
James P. Riley, Jr. 2000 GRAT 0 0 0 0
The Jason Kraus 2000 Trust 0 0 0 0
The Jason William Tortora 2000
Trust 0 0 0 0
The Jeffrey D. Witten 2000 Trust 0 0 0 0
</TABLE>
27
<PAGE> 28
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Jennifer Lauren Alper 2000
Trust 0 0 0 0
JG 2000 Trust 0 0 0 0
JG 2000 Trust (continuing trust) 0 0 0 0
The John A. Thain Trust 0 0 0 0
The John J. Powers 2000 Family
Trust 0 0 0 0
The John L. Townsend, III 2000
Annuity Trust I 0 0 0 0
The John O. Downing 2000 Annuity
Trust I 0 0 0 0
The John O. Downing 2000 Family
Trust 0 0 0 0
The John P. Curtin, Jr. 2000
Annuity Trust I 0 0 0 0
The John P. Curtin, Jr. 2000
Family Trust 0 0 0 0
The John R. Tormondsen 2000
Annuity Trust I 0 0 0 0
The John R. Tormondsen, Jr. 2000
Trust 0 0 0 0
The John S. Weinberg 2000 Annuity
Trust I 0 0 0 0
The John S. Weinberg 2000 Family
Trust 0 0 0 0
The Jonathan G. Neidich 2000 Trust 0 0 0 0
The Jonathan M. Lopatin 2000
Annuity Trust I 0 0 0 0
The Jordan Viniar 2000 Trust 0 0 0 0
The Joseph Della Rosa 2000
Annuity Trust I 0 0 0 0
The Joseph Della Rosa 2000 Family
Trust 0 0 0 0
The Joseph H. Gleberman 2000
Annuity Trust I 0 0 0 0
The Joseph H. Gleberman 2000
Family Trust 0 0 0 0
The Jun Makihara 2000 Family Trust 0 0 0 0
The Karen Barlow Corrigan 2000
Trust 0 0 0 0
The Karen Rebecca Alper 2000 Trust 0 0 0 0
</TABLE>
28
<PAGE> 29
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 &
Barbara Kahn-Moller
Trust Jersey 0 0 0 0
The Katherine A.M. Stanton 2000
Trust 0 0 0 0
The Katheryn C. Coulson 2000 Trust 0 0 0 0
The Kathryn Margaret Wellde 2000
Trust 0 0 0 0
The Kelsey Fithian 2000 Trust 0 0 0 0
The Kenneth Litzenberger 2000
Grantor Retained Annuity
Trust 0 0 0 0
The Kenneth Litzenberger
Remainder Trust 0 0 0 0
The Kevin W. Kennedy 2000 Annuity
Trust I 0 0 0 0
The Kevin W. Kennedy 2000 Family
Trust 0 0 0 0
The Kimberly Lynn Macaione 2000
Trust 0 0 0 0
The Kimberly R. Textor 2000 Trust 0 0 0 0
The Kipp M. Nelson Trust 0 0 0 0
The Kyle F. Textor 2000 Trust 0 0 0 0
The Lauren Schiller 2000 Trust 0 0 0 0
The Lawrence R. Buchalter 2000
Annuity Trust I 0 0 0 0
The Lawrence R. Buchalter 2000
Family Trust 0 0 0 0
The Lee G. Vance 2000 Annuity
Trust I 0 0 0 0
The Lee G. Vance 2000 Family Trust 0 0 0 0
The Leslie C. Tortora 2000
Annuity Trust I 0 0 0 0
Lloyd C. Blankfein 2000 Family
Trust 0 0 0 0
Lloyd C. Blankfein 2000 GRAT 0 0 0 0
The Louise Rice Townsend 2000
Trust 0 0 0 0
</TABLE>
29
<PAGE> 30
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 f/b/o C. Justin
Hillenbrand New Jersey 0 0 0 0
M. Roch Hillenbrand Trust f/b/o
Molly D. Hillenbrand New Jersey 0 0 0 0
The Mallory G. Neidich 2000 Trust 0 0 0 0
The Marc A. Spilker 2000 Family
Trust 0 0 0 0
The Mark A. Zurack 2000 Annuity
Trust I 0 0 0 0
The Mark A. Zurack 2000 Family
Trust 0 0 0 0
The Mark A. Zurack 2000 Issue
Trust 0 0 0 0
Mark Dehnert Living Trust Illinois 0 0 0 0
The Mark Schwartz 2000 Annuity
Trust I 0 0 0 0
The Mark Tercek 2000 Annuity
Trust I 0 0 0 0
The Mark Tercek 2000 Family Trust 0 0 0 0
Marks 2000 0 0 0 0
Marks 2000 (continuing trust) 0 0 0 0
The Mary Agnes Reilly Kiernan
2000 Trust 0 0 0 0
The Mary Ann Casati Trust 0 0 0 0
The Matthew D. Rogers 2000 Trust 0 0 0 0
The Matthew Peter Mortara 2000
Trust 0 0 0 0
The Maya Bettina Linden 2000 Trust 0 0 0 0
The Merritt Moore Townsend 2000
Trust 0 0 0 0
The Mesdag Family Trust Delaware 0 0 0 0
The Michael A. Price 2000 Annuity
Trust I 0 0 0 0
The Michael A. Price 2000 Family
Trust 0 0 0 0
The Michael D. Ryan 2000 Annuity
Trust I 0 0 0 0
The Michael D. Ryan 2000 Family
Trust 0 0 0 0
</TABLE>
30
<PAGE> 31
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Michael J. Zamkow 2000
Annuity Trust I 0 0 0 0
The Michael J. Zamkow 2000 Family
Trust 0 0 0 0
The Michael P. Mortara 2000
Annuity Trust I 0 0 0 0
The Michael Paul Mortara 2000
Trust 0 0 0 0
The Michael Stecher 2000 Trust 0 0 0 0
The Milton R. Berlinski 2000
Annuity Trust I 0 0 0 0
The Mossavar-Rahmani 2000 Annuity
Trust I 0 0 0 0
The Mossavar-Rahmani 2000 Family
Trust 0 0 0 0
Murphy 2000 0 0 0 0
Murphy 2000 (continuing trust) 0 0 0 0
The Natalie Cailyn Rogers 2000
Trust 0 0 0 0
The Nicole Schiller 2000 Trust 0 0 0 0
The Nina B. Haydock 2000 Trust 0 0 0 0
The Peter C. Gerhard 2000 Annuity
Trust I 0 0 0 0
The Peter C. Gerhard 2000 Family
Trust 0 0 0 0
The Peter D. Kiernan, III 2000
Annuity Trust I 0 0 0 0
The Peter Kiernan IV 2000 Trust 0 0 0 0
The Peter S. Kraus 2000 Annuity
Trust I 0 0 0 0
The Philip D. Murphy 2000 Annuity
Trust I 0 0 0 0
The Philip D. Murphy 2000 Family
Trust 0 0 0 0
The Philip Darivoff 2000 Annuity
Trust I 0 0 0 0
The Rachel M. Darivoff 2000 Trust 0 0 0 0
The Ralph F. Rosenberg 2000
Annuity Trust I 0 0 0 0
The Ralph F. Rosenberg 2000
Family Trust 0 0 0 0
</TABLE>
31
<PAGE> 32
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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-
Millennium Trust 0 0 0 0
The Randolph L. Cowen 2000 Family
Trust 0 0 0 0
Rayas Trust Jersey 0 0 0 0
The Rebecca Viniar 2000 Trust 0 0 0 0
The Richard A. Friedman 2000
Annuity Trust I 0 0 0 0
The Richard A. Friedman 2000
Family Trust 0 0 0 0
The Richard A. Sapp 2000 Annuity
Trust I 0 0 0 0
The Richard A. Sapp 2000 Family
Trust 0 0 0 0
The Richard E. Witten 2000
Annuity Trust I 0 0 0 0
The Richard G. Sherlund 2000
Annuity Trust I 0 0 0 0
Robert A. Fippinger,
Jr.-Millennium Trust 0 0 0 0
The Robert B. Litterman 2000
Annuity Trust I 0 0 0 0
The Robert B. Litterman 2000
Family Trust 0 0 0 0
The Robert B. Morris III 2000
Annuity Trust I 0 0 0 0
The Robert J. Hurst 2000 Annuity
Trust I 0 0 0 0
The Robert J. Hurst 2000 Family
Trust 0 0 0 0
The Robert J. Katz 2000 Annuity
Trust I 0 0 0 0
The Robert J. O Shea 2000 Annuity
Trust I 0 0 0 0
The Robert J. O Shea 2000 Family
Trust 0 0 0 0
The Robert J. Pace 2000 Annuity
Trust I 0 0 0 0
The Robert J. Pace 2000 Family
Trust 0 0 0 0
The Robert K. Steel 2000 Annuity
Trust I 0 0 0 0
The Robert B. Morris III 2000
Family Trust 0 0 0 0
The Robin Neustein 2000 Annuity
Trust I 0 0 0 0
</TABLE>
32
<PAGE> 33
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 2000 Trust 0 0 0 0
The Sarah B. Lopatin 2000 Trust 0 0 0 0
The Sarah Delacy Kiernan 2000
Trust 0 0 0 0
The Sarah M. Darivoff 2000 Trust 0 0 0 0
The Sarah Rose Berlinski 2000
Trust 0 0 0 0
The Scott B. Kapnick 2000 Annuity
Trust I 0 0 0 0
The Scott B. Kapnick 2000 Family
Trust 0 0 0 0
Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0
Scott M. Pinkus 2000 GRAT New Jersey 0 0 0 0
The Scott S. Prince Trust 0 0 0 0
The Stephen M. Neidich 2000 Trust 0 0 0 0
The Steven M. Heller, Jr. 2000
Trust 0 0 0 0
The Steven T. Mnuchin 2000
Annuity Trust I 0 0 0 0
The Steven T. Mnuchin 2000 Family
Trust 0 0 0 0
The Stuart Mark Rothenberg 2000
Annuity Trust I 0 0 0 0
The Stuart Mark Rothenberg 2000
Family Trust 0 0 0 0
The Terence M. O Toole 2000
Annuity Trust I 0 0 0 0
The Terence M. O Toole 2000
Family Trust 0 0 0 0
The Tess Augusta Linden 2000 Trust 0 0 0 0
The Thomas K. Montag 2000 Annuity
Trust I 0 0 0 0
The Thomas K. Montag 2000 Family
Trust 0 0 0 0
The Tracy Richard Wolstencroft
2000 Annuity Trust I 0 0 0 0
</TABLE>
33
<PAGE> 34
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Wolstencroft
2000 Family Trust 0 0 0 0
Trust for the benefit of David
Ford, Jr. under Indenture of
Trust B of David B. Ford
dated 6/16/00 Pennsylvania 0 0 0 0
Trust for the benefit of Jamie
Ford under Indenture of
Trust B of David B. Ford
dated as of 6/16/00 Pennsylvania 0 0 0 0
Vyrona Trust Jersey 0 0 0 0
The Walter H. Haydock 2000
Annuity Trust I 0 0 0 0
The Walter H. Haydock, Jr. 2000
Trust 0 0 0 0
The William C. Sherlund 2000 Trust 0 0 0 0
The William Keith Litzenberger
2000 Grantor Retained
Annuity Trust 0 0 0 0
The William Keith Litzenberger
Remainder Trust 0 0 0 0
The Zachariah Cobrinik 2000
Annuity Trust I 0 0 0 0
The Zachariah Cobrinik Family
2000 Trust 0 0 0 0
PARTNERSHIPS
------------
ALS Investment Partners, L.P. Delaware 0 0 0 0
Beech Associates, L.P. Delaware 0 0 0 0
Crestley, L.P. Delaware 0 0 0 0
Daniel G. Brennan Family Limited
Partnership Illinois 0 0 0 0
Greenley Partners, L.P. Delaware 0 0 0 0
HEMPA Limited Partnership Delaware 0 0 0 0
JSS Investment Partners, L.P. Delaware 0 0 0 0
Mesdag Family Limited Partnership Delaware 0 0 0 0
</TABLE>
34
<PAGE> 35
<TABLE>
<CAPTION>
ITEM 6
PLACE OF ITEM 8 ITEM 10
ORGANIZATION ITEM 7 SHARED ITEM 9 SHARED
(NEW YORK SOLE VOTING VOTING SOLE 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 Partners, L.P. Delaware 0 0 0 0
Rantz GS Investment Partners, L.P. Delaware 0 0 0 0
Savitz Investment Partners, L.P. Delaware 0 0 0 0
The Litzenberger Family Limited
Partnership Delaware 0 0 0 0
The Rizner Family Limited
Partnership Illinois 0 0 0 0
Trott GS Investment Partners, L.P. Delaware 0 0 0 0
Tuft GS Investment Partners, L.P. Delaware 0 0 0 0
Windy Hill Investment Company II,
L.P. Delaware 0 0 0 0
Winkelried Investment Partners,
L.P. Delaware 0 0 0 0
CORPORATIONS
------------
Anahue Limited Jersey 0 0 0 0
Guapulo Holdings Ltd Jersey 0 0 0 0
HJS2 Limited Cayman Islands 0 0 0 0
Majix Limited Jersey 0 0 0 0
Melalula Limited Jersey 0 0 0 0
RJG Holding Company Cayman Islands 0 0 0 0
Robinelli Limited Jersey 0 0 0 0
Vyrona Holdings Limited Jersey 0 0 0 0
Zurrah Limited Jersey 0 0 0 0
</TABLE>
35
<PAGE> 36
This Amendment No. 6 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. 6 is being filed principally because on August 3, 2000, the
underwriters in an underwritten registered public offering of Covered Shares
(as defined below) by certain Covered Persons (as defined below) exercised
their options to sell an additional 5,908,457 Covered Shares.
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.
GS Inc. has indicated in its public filings that it intends to
establish a program, beginning in the fourth fiscal quarter of 2000, to permit
the PMDs to sell, in a coordinated manner, a portion of their shares of Common
Stock in accordance with the volume and manner of sale limitations of Rule 144
under the Securities Act of 1933, as amended.
Covered Persons may from time to time acquire Uncovered Shares for
investment purposes. Except as described in Item 6 and except for the
acquisition by Covered Persons of Common Stock pursuant to employee
compensation, benefit or similar plans of GS Inc. in the future or as described
above, none of the Covered Persons has any plans or proposals which relate to
or would result in their acquisition of additional Common Stock or any of the
other events described in Item 4(a) through 4(j).
Each Covered Person is expected to evaluate on an ongoing basis GS
Inc.'s financial condition and prospects and his or her interests in and with
respect to GS Inc. Accordingly, each Covered Person may change his or her plans
and intentions at any time and from time to time. In particular, each Covered
Person may at any time and from time to time acquire or dispose of shares of
Common Stock.
Item 5. Interest in Securities of the Issuer
(a) Rows (11) and (13) of the cover page to this Schedule, Appendix
A and Annex A are hereby incorporated by reference. Each Covered Person hereby
disclaims beneficial ownership of any shares of Common Stock held by any other
Covered Person and disclaims beneficial ownership of the SBCM Shares and the
KAA Shares. Except as described in Annex C, none of the shares of Common Stock
reported in rows (11) and (13) of the cover page to this Schedule and Appendix
A are shares as to which there is a right to acquire exercisable within 60
days.
37
<PAGE> 38
(b) Rows (7) through (10) of the cover page to this Schedule,
Appendix A and Annex A set forth the percentage range of Covered Shares as to
which there is sole power to vote or direct the vote or to dispose or direct
the disposition; the number of Uncovered Shares as to which there is sole power
to vote or direct the vote or to dispose or direct the disposition; and the
number of shares of Common Stock as to which there is shared power to vote or
direct the vote or to dispose or direct the disposition. The power to vote
Covered Shares by Covered Persons is shared with each other Covered Person, as
described below in response to Item 6. Each Covered Person hereby disclaims
beneficial ownership of any shares of Common Stock held by any other Covered
Person and disclaims beneficial ownership of the SBCM Shares and the KAA
Shares.
(c) Except as described in Annex D 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").
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
38
<PAGE> 39
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, and
such Covered Persons did in fact 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.
On August 7, 2000, the Shareholders' Committee waived the Partner
Transfer Restrictions to permit the sale of Covered Shares by certain Covered
Persons in a registered underwritten public offering, as described below in
Annex D.
In the case of a third-party tender or exchange offer, the Transfer
Restrictions may be waived or terminated: if the board of directors is
recommending acceptance or is not making any recommendation with respect to
acceptance of the tender or exchange offer, by a majority of the Voting
Interests (as defined below); or if the board of directors is recommending
rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting
Interests.
In the case of a tender or exchange offer by GS Inc., a majority of
the outstanding Voting Interests may also elect to waive or terminate the
Transfer Restrictions.
VOTING
Prior to any vote of the shareholders of GS Inc., the Shareholders'
Agreement requires a separate, preliminary vote of the Voting Interests on each
matter upon which a vote of the shareholders is proposed to be taken (the
"Preliminary Vote"). Each Covered Share held by an Employee Covered Person and
each other Covered Share subject to the Partner Transfer Restrictions will be
voted in accordance with the majority of the votes cast by the Voting Interests
in the Preliminary Vote. In elections of directors, each Covered Share will be
voted in favor of the election of those persons receiving the highest numbers
of votes cast by the Voting Interests in the Preliminary Vote. "Voting
Interests" are Covered Shares beneficially owned by all Covered Persons through
December 31, 2000 and thereafter are Covered Shares beneficially owned by all
Employee Covered Persons.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits the Covered Persons from
engaging in certain activities relating to any securities of GS Inc. with any
person who is not a Covered Person or a director, officer or employee of GS
Inc. ("Restricted Persons"). Among other things, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
Covered Shares in a voting trust or subject any Covered Shares to any voting
agreement or arrangement that includes any Restricted Person; form, join or in
any way participate in a
39
<PAGE> 40
"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 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
40
<PAGE> 41
under the noncompetition agreement. The forms of the pledge agreements are
filed as exhibits to this Schedule and the foregoing summary of these
agreements is qualified in its entirety by reference thereto.
REGISTRATION RIGHTS INSTRUMENT 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.
UNDERWRITING AGREEMENTS AND REGISTRATION RIGHTS INSTRUMENT FOR REGISTERED
SECONDARY OFFERING
In connection with the sale by certain Covered Persons of shares of
Common Stock in a registered underwritten public offering, as described in
Annex D hereto, GS Inc. entered into three Underwriting Agreements and a
Supplemental Registration Rights Instrument (the "Secondary Offering
Supplement"), which supplements the Registration Rights Instrument referred to
above. The following is a description of the Underwriting Agreements and the
Registration Rights Instrument, as supplemented by the Secondary Offering
Supplement. The Underwriting Agreements, the Registration Rights Instrument and
the Secondary Offering Supplement are filed as Exhibits to this Schedule, and
the following summary of these agreements is qualified in its entirety by
reference thereto.
On August 1, 2000, the Covered Persons specified in Annex D (the
"Selling Stockholders") entered into the Underwriting Agreements with the
underwriters listed therein (the "Underwriters"). Pursuant to the Underwriting
Agreements, the Selling Stockholders sold an aggregate of 22,048,870 Covered
Shares to the Underwriters for
41
<PAGE> 42
settlement on August 7, 2000 (including 5,908,457 Covered Shares sold pursuant
to the Underwriters' over-allotment options, which were exercised in full on
August 3, 2000). The Underwriters purchased the shares from the Selling
Stockholders at $97.00 per share and resold the shares to the public at $99.75
per share.
Pursuant to the Registration Rights Instrument and the Secondary
Offering Supplement, GS Inc. has agreed to register certain shares of Common
Stock for sale by the Selling Stockholders. GS Inc. has agreed in the
Underwriting Agreements, the Registration Rights Instrument and the Secondary
Offering Supplement to pay all of the fees and expenses relating to the
offering by the Selling Stockholders, other than any agency fees and
commissions or underwriting commissions or discounts or any transfer taxes
incurred by the Selling Stockholders in connection with their sales. GS Inc.
has agreed in the Secondary Offering Supplement to indemnify the Selling
Stockholders against certain liabilities, including those arising under the
Securities Act.
42
<PAGE> 43
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>
43
<PAGE> 44
<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. 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>
44
<PAGE> 45
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
COVERED PERSONS
<TABLE>
<CAPTION>
----------------------------------------------------------------------------------------------------------------------------
CONVICTIONS OR BENEFICIAL
VIOLATIONS OF OWNERSHIP OF
PRESENT FEDERAL OR THE COMMON
NAME CITIZENSHIP BUSINESS ADDRESS EMPLOYMENT STATE LAWS STOCK OF THE
WITHIN THE LAST GOLDMAN SACHS
FIVE YEARS GROUP, INC.
----------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Steven M. USA 85 Broad Street Managing Director, None Covered Person,
Bunson New York, NY The Goldman so ownership is
10004 Sachs Group, Inc. as set forth in or
incorporated into
Item 5 above.
----------------------------------------------------------------------------------------------------------------------------
Russell E. USA 85 Broad Street Managing Director, None Covered Person,
Makowsky New York, NY The Goldman so ownership is
10004 Sachs Group,Inc. as set forth in or
incorporated into
Item 5 above.
----------------------------------------------------------------------------------------------------------------------------
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
----------------------------------------------------------------------------------------------------------------------------
</TABLE>
45
<PAGE> 46
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS
None.
46
<PAGE> 47
ANNEX C
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS
SBCM holds 7,440,362 shares of Nonvoting Common Stock, which are immediately
convertible into Common Stock on a one-for-one basis.
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.
47
<PAGE> 48
ANNEX D
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
Pursuant to the Underwriting Agreements referred to in Item 6 above, each of
the following Covered Persons sold to the Underwriters the number of shares of
Common Stock listed opposite such Covered Person's name for settlement on
August 7, 2000. These shares include an aggregate of 5,908,457 shares sold
pursuant to the Underwriters' over-allotment options, which were exercised in
full on August 3, 2000. The Underwriters purchased the shares from the Covered
Persons at $97.00 per share and resold the shares to the public at $99.75 per
share.
<TABLE>
<CAPTION>
-----------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES SOLD
-----------------------------------------------------------------------
<S> <C>
Bradley I. Abelow 50,632
-----------------------------------------------------------------------
Andrew M. Alper 53,058
-----------------------------------------------------------------------
Armen A. Avanessians 149,671
-----------------------------------------------------------------------
David Baum 52,059
-----------------------------------------------------------------------
Ron E. Beller 104,243
-----------------------------------------------------------------------
Milton R. Berlinski 84,009
-----------------------------------------------------------------------
Lloyd C. Blankfein 265,290
-----------------------------------------------------------------------
David W. Blood 88,430
-----------------------------------------------------------------------
Peter L. Briger, Jr. 107,893
-----------------------------------------------------------------------
Richard J. Bronks 52,665
-----------------------------------------------------------------------
Lawrence R. Buchalter 98,850
-----------------------------------------------------------------------
Christopher J. Carrera 52,145
-----------------------------------------------------------------------
Mary Ann Casati 52,174
-----------------------------------------------------------------------
Zachariah Cobrinik 138,713
-----------------------------------------------------------------------
Gary D. Cohn 182,882
-----------------------------------------------------------------------
Christopher A. Cole 132,645
-----------------------------------------------------------------------
Carlos A. Cordeiro 193,404
-----------------------------------------------------------------------
Henry Cornell 91,445
-----------------------------------------------------------------------
Jon S. Corzine 562,366
-----------------------------------------------------------------------
Frank L. Coulson, Jr. 207,811
-----------------------------------------------------------------------
Randolph L. Cowen 95,228
-----------------------------------------------------------------------
Timothy D. Dattels 98,911
-----------------------------------------------------------------------
Gavyn Davies 299,949
-----------------------------------------------------------------------
David A. Dechman 51,824
-----------------------------------------------------------------------
Robert V. Delaney, Jr. 155,289
-----------------------------------------------------------------------
Alexander C. Dibelius 33,442
-----------------------------------------------------------------------
John O. Downing 176,860
-----------------------------------------------------------------------
C. Steven Duncker 66,323
-----------------------------------------------------------------------
Glenn P. Earle 98,811
-----------------------------------------------------------------------
Paul S. Efron 53,058
-----------------------------------------------------------------------
Pieter Maarten Feenstra 54,938
-----------------------------------------------------------------------
Lawton W. Fitt 153,621
-----------------------------------------------------------------------
David B. Ford 97,273
-----------------------------------------------------------------------
Edward C. Forst 44,215
-----------------------------------------------------------------------
Christopher G. French 53,811
-----------------------------------------------------------------------
Richard A. Friedman 309,505
-----------------------------------------------------------------------
Joseph D. Gatto 154,730
-----------------------------------------------------------------------
Peter C. Gerhard 184,515
-----------------------------------------------------------------------
Jeffrey B. Goldenberg 34,867
-----------------------------------------------------------------------
Jacob D. Goldfield 280,321
-----------------------------------------------------------------------
</TABLE>
48
<PAGE> 49
<TABLE>
<CAPTION>
-----------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES SOLD
-----------------------------------------------------------------------
<S> <C>
Amy O. Goodfriend 35,372
-----------------------------------------------------------------------
Andrew M. Gordon 44,215
-----------------------------------------------------------------------
Geoffrey T. Grant 94,128
-----------------------------------------------------------------------
Joseph D. Gutman 64,123
-----------------------------------------------------------------------
Robert S. Harrison 108,069
-----------------------------------------------------------------------
Thomas J. Healey 194,118
-----------------------------------------------------------------------
Sylvain M. Hefes 67,806
-----------------------------------------------------------------------
David B. Heller 88,430
-----------------------------------------------------------------------
Mary C. Henry 97,119
-----------------------------------------------------------------------
Jacquelyn M. Hoffman-Zehner 76,032
-----------------------------------------------------------------------
Fern Hurst 44,215
-----------------------------------------------------------------------
Robert J. Hurst 252,026
-----------------------------------------------------------------------
Timothy J. Ingrassia 53,948
-----------------------------------------------------------------------
Reuben Jeffery III 196,304
-----------------------------------------------------------------------
Stefan J. Jentzsch 49,752
-----------------------------------------------------------------------
Barry A. Kaplan 97,302
-----------------------------------------------------------------------
Robert J. Katz 243,183
-----------------------------------------------------------------------
Kevin W. Kennedy 285,902
-----------------------------------------------------------------------
Douglas W. Kimmelman 95,092
-----------------------------------------------------------------------
Bradford C. Koenig 107,973
-----------------------------------------------------------------------
Jonathan L. Kolatch 114,992
-----------------------------------------------------------------------
David G. Lambert 76,843
-----------------------------------------------------------------------
Thomas D. Lasersohn 52,683
-----------------------------------------------------------------------
Matthew G. L'Heureux 51,289
-----------------------------------------------------------------------
Lawrence H. Linden 180,791
-----------------------------------------------------------------------
Robert Litterman 146,102
-----------------------------------------------------------------------
Robert H. Litzenberger 53,012
-----------------------------------------------------------------------
Jonathan M. Lopatin 128,399
-----------------------------------------------------------------------
Michael R. Lynch 229,918
-----------------------------------------------------------------------
Ronald G. Marks 99,123
-----------------------------------------------------------------------
Eff W. Martin 261,519
-----------------------------------------------------------------------
John P. McNulty 293,535
-----------------------------------------------------------------------
E. Scott Mead 168,017
-----------------------------------------------------------------------
T. Willem Mesdag 44,215
-----------------------------------------------------------------------
Eric M. Mindich 183,581
-----------------------------------------------------------------------
Steven T. Mnuchin 185,689
-----------------------------------------------------------------------
Karsten N. Moller 49,926
-----------------------------------------------------------------------
Thomas K. Montag 180,639
-----------------------------------------------------------------------
Robert B. Morris III 231,986
-----------------------------------------------------------------------
Michael Mortara 348,167
-----------------------------------------------------------------------
Sharmin Mossavar-Rahmani 154,753
-----------------------------------------------------------------------
Edward A. Mule 154,753
-----------------------------------------------------------------------
Thomas S. Murphy, Jr. 53,058
-----------------------------------------------------------------------
Avi M. Nash 53,058
-----------------------------------------------------------------------
Daniel M. Neidich 357,778
-----------------------------------------------------------------------
Kipp M. Nelson 118,223
-----------------------------------------------------------------------
Robin Neustein 237,779
-----------------------------------------------------------------------
Suzanne M. Nora Johnson 190,610
-----------------------------------------------------------------------
Michael E. Novogratz 50,632
-----------------------------------------------------------------------
Terence J. O'Neill 178,395
-----------------------------------------------------------------------
Timothy J. O'Neill 208,695
-----------------------------------------------------------------------
Donald C. Opatrny, Jr. 267,940
-----------------------------------------------------------------------
Robert J. O'Shea 184,996
-----------------------------------------------------------------------
</TABLE>
49
<PAGE> 50
<TABLE>
<CAPTION>
-----------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES SOLD
-----------------------------------------------------------------------
<S> <C>
Greg M. Ostroff 53,444
-----------------------------------------------------------------------
Robert J. Pace 51,113
-----------------------------------------------------------------------
Gregory K. Palm 227,577
-----------------------------------------------------------------------
Scott M. Pinkus 245,897
-----------------------------------------------------------------------
John J. Powers 221,075
-----------------------------------------------------------------------
Michael A. Price 52,795
-----------------------------------------------------------------------
Scott Prince 52,162
-----------------------------------------------------------------------
Stephen D. Quinn 186,248
-----------------------------------------------------------------------
Michael G. Rantz 166,777
-----------------------------------------------------------------------
Girish V. Reddy 78,213
-----------------------------------------------------------------------
Arthur J. Reimers III 204,813
-----------------------------------------------------------------------
James P. Riley, Jr. 249,234
-----------------------------------------------------------------------
Simon M. Robertson 152,830
-----------------------------------------------------------------------
J. David Rogers 110,538
-----------------------------------------------------------------------
Emmanuel Roman 3,444
-----------------------------------------------------------------------
Ralph F. Rosenberg 50,693
-----------------------------------------------------------------------
Stuart M. Rothenberg 107,782
-----------------------------------------------------------------------
Michael S. Rubinoff 52,577
-----------------------------------------------------------------------
Richard M. Ruzika 50,554
-----------------------------------------------------------------------
Jeri Lynn Ryan 29,587
-----------------------------------------------------------------------
Michael D. Ryan 44,215
-----------------------------------------------------------------------
Joseph Sassoon 165,637
-----------------------------------------------------------------------
Muneer A. Satter 93,619
-----------------------------------------------------------------------
Jonathan S. Savitz 51,816
-----------------------------------------------------------------------
Peter Savitz 138,908
-----------------------------------------------------------------------
Howard B. Schiller 108,208
-----------------------------------------------------------------------
Antoine Schwartz 55,267
-----------------------------------------------------------------------
Eric S. Schwartz 182,408
-----------------------------------------------------------------------
Charles B. Seelig, Jr. 184,922
-----------------------------------------------------------------------
Steven M. Shafran 77,188
-----------------------------------------------------------------------
Richard G. Sherlund 153,974
-----------------------------------------------------------------------
Michael S. Sherwood 176,376
-----------------------------------------------------------------------
Howard A. Silverstein 122,033
-----------------------------------------------------------------------
Dinakar Singh 51,796
-----------------------------------------------------------------------
Christian J. Siva-Jothy 48,637
-----------------------------------------------------------------------
Cody J Smith 130,011
-----------------------------------------------------------------------
Jonathan S. Sobel 51,680
-----------------------------------------------------------------------
Marc A. Spilker 96,319
-----------------------------------------------------------------------
Daniel W. Stanton 163,596
-----------------------------------------------------------------------
Esta E. Stecher 134,681
-----------------------------------------------------------------------
Cathrine S. Steck 39,794
-----------------------------------------------------------------------
Fredric E. Steck 53,058
-----------------------------------------------------------------------
Gene T. Sykes 176,860
-----------------------------------------------------------------------
Mark R. Tercek 111,974
-----------------------------------------------------------------------
Donald F. Textor 171,762
-----------------------------------------------------------------------
John R. Tormondsen 66,323
-----------------------------------------------------------------------
Leslie C. Tortora 225,550
-----------------------------------------------------------------------
John L. Townsend III 182,550
-----------------------------------------------------------------------
Byron D. Trott 106,116
-----------------------------------------------------------------------
Robert B. Tudor III 52,926
-----------------------------------------------------------------------
Malcolm B. Turnbull* 55,267
-----------------------------------------------------------------------
John E. Urban 35,372
-----------------------------------------------------------------------
Lee G. Vance 216,376
-----------------------------------------------------------------------
</TABLE>
50
<PAGE> 51
<TABLE>
<CAPTION>
-----------------------------------------------------------------------
NUMBER OF
COVERED PERSON SHARES SOLD
-----------------------------------------------------------------------
<S> <C>
George H. Walker IV 53,179
-----------------------------------------------------------------------
Thomas B. Walker III 245,159
-----------------------------------------------------------------------
Patrick J. Ward 313,784
-----------------------------------------------------------------------
George W. Wellde, Jr. 176,860
-----------------------------------------------------------------------
Kendrick R. Wilson III 137,103
-----------------------------------------------------------------------
Jon Winkelried 293,216
-----------------------------------------------------------------------
Steven J. Wisch 94,792
-----------------------------------------------------------------------
Richard E. Witten 176,860
-----------------------------------------------------------------------
Tracy R. Wolstencroft 155,030
-----------------------------------------------------------------------
Danny O. Yee 135,874
-----------------------------------------------------------------------
Gregory H. Zehner 95,344
-----------------------------------------------------------------------
Joseph R. Zimmel 239,533
-----------------------------------------------------------------------
Barry L. Zubrow 265,290
-----------------------------------------------------------------------
Mark A. Zurack 127,762
-----------------------------------------------------------------------
-----------------------------------------------------------------------
TRUSTS
-----------------------------------------------------------------------
Anahue Trust 54,938
-----------------------------------------------------------------------
The Karsten Moller & Barbara Kahn-
Moller Trust 50,000
-----------------------------------------------------------------------
Rayas Trust 50,000
-----------------------------------------------------------------------
Vyrona Trust 150,000
-----------------------------------------------------------------------
-----------------------------------------------------------------------
PARTNERSHIPS
-----------------------------------------------------------------------
Daniel G. Brennan Family Limited
Partnership 16,411
-----------------------------------------------------------------------
-----------------------------------------------------------------------
CORPORATIONS
-----------------------------------------------------------------------
HJS2 Limited 54,530
-----------------------------------------------------------------------
Majix Limited 88,430
-----------------------------------------------------------------------
Melalula Limited 198,122
-----------------------------------------------------------------------
</TABLE>
-------------
* Includes shares held by a corporation wholly owned by the Covered Person.
51
<PAGE> 52
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: August 8, 2000
By: /s/ Gregory K. Palm
-------------------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
52
<PAGE> 53
<TABLE>
<CAPTION>
EXHIBIT INDEX
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 I. 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>
53
<PAGE> 54
<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. 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>
54
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