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Previous: GOLDMAN SACHS GROUP INC, 424B4, 2000-08-02 |
Next: GOLDMAN SACHS GROUP INC, SC 13D/A, EX-99.Q, 2000-08-02 |
<PAGE> 1
SECURITIES EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
-----------------------------------------------------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 5
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 1, 2000
--------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G
to report the acquisition that is the subject of this Schedule 13D, and
is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g),
check the following box [ ].
(Continued on following pages)
<PAGE> 2
-----------------------------
CUSIP NO. 38141G 10 4 13D
-----------------------------
-------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A.
-------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
As to a group consisting solely of Covered Person (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
BENEFICIALLY in Appendix A
OWNED BY -----------------------------------------------
REPORTING 8. SHARED VOTING POWER (See Item
PERSON 6) (Applies to each person
WITH listed on Appendix A.)
257,438,100 Covered Shares
held by Covered Persons
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)
8,803,248 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 258,953,585(7)
-------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES [x](7)
(Applies to each person listed on Appendix A.)
-------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 57.9%(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.
2
<PAGE> 3
(5) For a definition of this term, please see Item 2. The Covered Persons may
be deemed to be members of a "group" with KAA and SBCM. Each Covered
Person disclaims beneficial ownership of shares of Common Stock held by
KAA and SBCM.
(6) The 8,803,248 shares held by SBCM exclude 7,440,362 shares of Nonvoting
Common Stock held by SBCM which, although immediately convertible into
Common Stock, cannot currently be converted by SBCM due to restrictions
imposed under the Bank Holding Company Act of 1956, as amended. Please see
the separate Schedule 13D filed by SBCM and any amendments thereto for
information relating to such shares. Each Covered Person disclaims
beneficial ownership as to the Nonvoting Common Stock held by SBCM.
(7) Excludes 10,987,710 and 8,803,248 shares of Common Stock held by KAA and
SBCM, respectively, as to which each Covered Person disclaims beneficial
ownership.
3
<PAGE> 4
APPENDIX A
<TABLE>
<CAPTION>
ITEM 6 ITEM 7 ITEM 8 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED
(UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ---------------- ----------------
<S> <C> <C> <C> <C> <C>
Bradley I. Abelow 0 0 0 0
Peter C. Aberg 0 0 0 0
Paul M. Achleitner Austria 0 0 0 0
Alberto F. Ades Argentina 0 0 0 0
Gregory A. Agran 0 0 0 0
Raanan A. Agus 0 0 0 0
Jonathan R. Aisbitt UK 0 0 0 0
Elliot M. Alchek 0 0 0 0
Andrew M. Alper 0 0 0 0
Philippe J. Altuzarra France 0 0 0 0
Lay Pheng Ang Singapore 0 0 0 0
Kazutaka P. Arai North Korea/ 0 0 0 0
South Korea
David M. Atkinson UK 0 0 0 0
Mitchel J. August 0 0 0 0
Armen A. Avanessians 0 0 0 0
Dean C. Backer 0 0 0 0
Michiel J. Bakker The Netherlands 0 0 0 0
Mark E. Bamford 0 0 0 0
John S. Barakat 0 0 0 0
Barbara J. Basser-Bigio 0 0 0 0
Carl-Georg Germany 0 0 0 0
Bauer-Schlichtegroll
David Baum 0 0 0 0
Patrick Y. Baune France 0 0 0 0
Robert A. Beckwitt 0 0 0 0
Jonathan A. Beinner 0 0 0 0
Ron E. Beller 0 0 0 0
Tarek M. Ben Halim Saudi Arabia 0 0 0 0
Jaime I. Bergel Spain 0 0 0 0
Milton R. Berlinski The Netherlands 0 0 0 0
Andrew S. Berman 0 0 0 0
Frances R. Bermanzohn 0 0 0 0
Stuart N. Bernstein 0 0 0 0
Robert A. Berry UK 0 0 0 0
Jean-Luc Biamonti Monaco 0 0 0 0
James J. Birch UK 0 0 0 0
Lloyd C. Blankfein 0 0 0 0
David W. Blood 0 0 0 0
Randall A. Blumenthal 0 0 0 0
</TABLE>
4
<PAGE> 5
<TABLE>
<CAPTION>
ITEM 6 ITEM 10
CITIZENSHIP ITEM 7 SHARED
(UNITED STATES SOLE VOTING ITEM 8 ITEM 9 DISPOSITIVE
UNLESS POWER OF SHARED VOTING SOLE DISPOSITIVE POWER OF
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ------ ---------------- ---------------- ------
<S> <C> <C> <C> <C> <C>
David R. Boles 0 0 0 0
Alison L. Bott UK 0 0 0 0
Charles W.A. Bott UK 0 0 0 0
Charles C. Bradford III 0 0 0 0
Benjamin S. Bram 0 0 0 0
Thomas C. Brasco 0 0 0 0
Daniel G. Brennan 0 0 0 0
Peter L. Briger, Jr. 0 0 0 0
Craig W. Broderick 0 0 0 0
Richard J. Bronks UK 0 0 0 0
Charles K. Brown UK 0 0 0 0
James K. Brown 0 0 0 0
Peter D. Brundage 0 0 0 0
Sholom Bryski 0 0 0 0
John J. Bu 0 0 0 0
Lawrence R. Buchalter 0 0 0 0
Mark J. Buisseret UK 0 0 0 0
Steven M. Bunson 0 0 0 0
Timothy B. Bunting UK 0 0 0 0
Andrew J. Burke-Smith Canada 0 0 0 0
Calvert C. Burkhart 0 0 0 0
Michael S. Burton UK 0 0 0 0
George H. Butcher III 0 0 0 0
Mary D. Byron 0 0 0 0
Lawrence V. Calcano 0 0 0 0
Elizabeth V. Camp 0 0 0 0
John D. Campbell 0 0 0 0
Laurie G. Campbell Canada 0 0 0 0
Richard M. Campbell-Breeden UK 0 0 0 0
Carmine C. Capossela 0 0 0 0
Mark M. Carhart 0 0 0 0
Anthony H. Carpet 0 0 0 0
Michael J. Carr 0 0 0 0
Christopher J. Carrera 0 0 0 0
Virginia E. Carter 0 0 0 0
Calvin R. Carver, Jr. 0 0 0 0
Mary Ann Casati 0 0 0 0
Chris Casciato 0 0 0 0
Douglas W. Caterfino 0 0 0 0
Michael J. Certo 0 0 0 0
Varkki P. Chacko USA/India 0 0 0 0
David K. Chang Taiwan 0 0 0 0
</TABLE>
5
<PAGE> 6
<TABLE>
<CAPTION>
ITEM 6 ITEM 7 ITEM 8 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING ITEM 9 SHARED
(UNITED STATES POWER OF POWER OF SOLE DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ---------------- ----------------
<S> <C> <C> <C> <C> <C>
Thomas P. Chang 0 0 0 0
Sacha A. Chiaramonte Germany 0 0 0 0
Andrew A. Chisholm Canada 0 0 0 0
Robert J. Christie 0 0 0 0
Peter T. Cirenza 0 0 0 0
Kent A. Clark Canada 0 0 0 0
Zachariah Cobrinik 0 0 0 0
Abby Joseph Cohen 0 0 0 0
Lawrence H. Cohen 0 0 0 0
Marc I. Cohen 0 0 0 0
Gary D. Cohn 0 0 0 0
Christopher A. Cole 0 0 0 0
Timothy J. Cole 0 0 0 0
Laura C. Conigliaro 0 0 0 0
Liam Connell 0 0 0 0
Thomas G. Connolly Ireland/USA 0 0 0 0
Frank T. Connor 0 0 0 0
Donna L. Conti 0 0 0 0
Karen R. Cook UK 0 0 0 0
Edith W. Cooper 0 0 0 0
Philip A. Cooper 0 0 0 0
Carlos A. Cordeiro 0 0 0 0
Henry Cornell 0 0 0 0
E. Gerald Corrigan 0 0 0 0
Jon S. Corzine 0 0 0 0
Claudio Costamagna Italy 0 0 0 0
Frank L. Coulson, Jr. 0 0 0 0
Kenneth Courtis 0 0 0 0
Randolph L. Cowen 0 0 0 0
Neil D. Crowder 0 0 0 0
Eduardo A. Cruz 0 0 0 0
John P. Curtin, Jr. 0 0 0 0
John W. Curtis 0 0 0 0
Stephen C. Daffron 0 0 0 0
John S. Daly Ireland 0 0 0 0
Philip M. Darivoff 0 0 0 0
Matthew S. Darnall 0 0 0 0
Timothy D. Dattels Canada 0 0 0 0
</TABLE>
6
<PAGE> 7
<TABLE>
<CAPTION>
ITEM 10
ITEM 6 ITEM 9 SHARED
CITIZENSHIP ITEM 7 ITEM 8 SOLE DISPOSITIVE
(UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE POWER OF POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES UNCOVERED SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ---------------- ---------------- ---------------- ------
<S> <C> <C> <C> <C> <C>
Gavyn Davies UK 0 0 0 0
Michael G. De Lathauwer Belgium 0 0 0 0
David A. Dechman 0 0 0 0
Mark Dehnert 0 0 0 0
Paul C. Deighton UK 0 0 0 0
James Del Favero Australia 0 0 0 0
Juan A. Del Rivero Spain 0 0 0 0
Robert V. Delaney, Jr. 0 0 0 0
Joseph Della Rosa 0 0 0 0
Emanuel Derman 0 0 0 0
Martin R. Devenish UK 0 0 0 0
Andrew C. Devenport UK 0 0 0 0
Stephen D. Dias UK 0 0 0 0
Armando A. Diaz 0 0 0 0
Alexander C. Dibelius Germany 0 0 0 0
Paul M. DiNardo 0 0 0 0
Simon P. Dingemans UK 0 0 0 0
Sandra D'Italia 0 0 0 0
Michele I. Docharty 0 0 0 0
Paula A. Dominick 0 0 0 0
Noel B. Donohoe Ireland 0 0 0 0
Jana Hale Doty 0 0 0 0
Robert G. Doumar, Jr. 0 0 0 0
Thomas M. Dowling 0 0 0 0
John O. Downing 0 0 0 0
Michael B. Dubno 0 0 0 0
Connie K. Duckworth 0 0 0 0
William C. Dudley 0 0 0 0
Brian J. Duffy 0 0 0 0
Matthieu B. Duncan 0 0 0 0
C. Steven Duncker 0 0 0 0
Karlo J. Duvnjak Canada 0 0 0 0
Jay S. Dweck 0 0 0 0
Gordon E. Dyal 0 0 0 0
Isabelle Ealet France 0 0 0 0
Glenn P. Earle UK 0 0 0 0
Paul S. Efron 0 0 0 0
Herbert E. Ehlers 0 0 0 0
Alexander S. Ehrlich 0 0 0 0
John E. Eisenberg 0 0 0 0
Edward K. Eisler Austria 0 0 0 0
</TABLE>
7
<PAGE> 8
<TABLE>
<CAPTION>
ITEM 6 ITEM 10
CITIZENSHIP ITEM 8 ITEM 9 SHARED
(UNITED STATES ITEM 7 SHARED VOTING SOLE DISPOSITIVE
UNLESS SOLE VOTING POWER OF DISPOSITIVE POWER OF
ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ---------------- ------ ---------------- ------
<S> <C> <C> <C> <C> <C>
Glenn D. Engel 0 0 0 0
Davide G. Erro Italy 0 0 0 0
Michael P. Esposito 0 0 0 0
George C. Estey Canada 0 0 0 0
Mark D. Ettenger 0 0 0 0
Bruce J. Evans 0 0 0 0
J. Michael Evans Canada 0 0 0 0
W. Mark Evans Canada 0 0 0 0
Charles P. Eve UK 0 0 0 0
Brian F. Farr 0 0 0 0
Elizabeth C. Fascitelli 0 0 0 0
Jeffrey F. Fastov 0 0 0 0
Pieter Maarten Feenstra The Netherlands 0 0 0 0
Steven M. Feldman 0 0 0 0
Laurie R. Ferber 0 0 0 0
Robert P. Fisher, Jr. 0 0 0 0
Lawton W. Fitt 0 0 0 0
Stephen C. Fitzgerald Australia 0 0 0 0
Thomas M. Fitzgerald III 0 0 0 0
Daniel M. Fitzpatrick 0 0 0 0
James A. Fitzpatrick 0 0 0 0
David N. Fleischer 0 0 0 0
David B. Ford 0 0 0 0
Edward C. Forst 0 0 0 0
George B. Foussianes 0 0 0 0
Oliver L. Frankel 0 0 0 0
Matthew T. Fremont-Smith 0 0 0 0
Christopher G. French UK 0 0 0 0
Richard A. Friedman 0 0 0 0
Matthias K. Frisch Switzerland 0 0 0 0
C. Douglas Fuge 0 0 0 0
Shirley Fung UK 0 0 0 0
Joseph D. Gatto 0 0 0 0
Emmanuel Gavaudan France 0 0 0 0
Nicholas J. Gaynor UK 0 0 0 0
Eduardo B. Gentil 0 0 0 0
Peter C. Gerhard 0 0 0 0
Nomi P. Ghez Israel/USA 0 0 0 0
Scott A. Gieselman 0 0 0 0
H. John Gilbertson, Jr. 0 0 0 0
</TABLE>
8
<PAGE> 9
<TABLE>
<CAPTION>
ITEM 10
ITEM 6 ITEM 8 SHARED
CITIZENSHIP ITEM 7 SHARED VOTING ITEM 9 DISPOSITIVE
(UNITED STATES SOLE VOTING POWER OF SOLE DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE POWER OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ---------------- ------ ---------------- ------
<S> <C> <C> <C> <C> <C>
Joseph H. Gleberman 0 0 0 0
Richard J. Gnodde Ireland/South 0 0 0 0
Africa
Jeffrey B. Goldenberg 0 2,860(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 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ---------------- ------ ----------------
<S> <C> <C> <C> <C> <C>
Sylvain M. Hefes France 0 0 0 0
David B. Heller 0 0 0 0
Steven M. Heller 0 0 0 0
R. Douglas Henderson 0 0 0 0
David L. Henle 0 0 0 0
Mary C. Henry 0 0 0 0
Raimund W. Herden Germany 0 0 0 0
Bruce A. Heyman 0 0 0 0
Robert E. Higgins 0 0 0 0
Joanne M. Hill 0 0 0 0
M. Roch Hillenbrand 0 0 0 0
Maykin Ho 0 0 0 0
Timothy E. Hodgson Canada 0 0 0 0
Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0
Christopher G. Hogg New Zealand/USA 0 0 0 0
Daniel E. Holland III 0 0 0 0
Teresa E. Holliday 0 0 0 0
Gregory T. Hoogkamp 0 0 0 0
Thomas J. Hopkins 0 0 0 0
Robert D. Hormats 0 0 0 0
Robert G. Hottensen, Jr. 0 0 0 0
Michael R. Housden UK 0 0 0 0
Paul J. Huchro 0 0 0 0
James A. Hudis 0 0 0 0
Terry P. Hughes Ireland 0 0 0 0
Bimaljit S. Hundal UK 0 0 0 0
Edith A. Hunt 0 0 0 0
Susan J. Hunt UK 0 0 0 0
Fern Hurst 0 0 0 0
Robert J. Hurst 0 0 0 0
Toni Infante 0 0 0 0
Francis J. Ingrassia 0 0 0 0
Timothy J. Ingrassia 0 0 0 0
Masahiro Iwano Japan 0 0 0 0
Raymond J. Iwanowski 0 0 0 0
William L. Jacob III 0 0 0 0
Mark M. Jacobs 0 0 0 0
Richard I. Jaffee 0 0 0 0
Reuben Jeffery III 0 0 0 0
Stefan J. Jentzsch Germany 0 0 0 0
Dan H. Jester 0 0 0 0
Daniel J. Jick 0 0 0 0
Robert H. Jolliffe UK 0 0 0 0
Andrew J. Jonas 0 0 0 0
</TABLE>
10
<PAGE> 11
<TABLE>
<CAPTION>
ITEM 9
ITEM 6 ITEM 7 ITEM 8 SOLE ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING DISPOSITIVE SHARED
(UNITED STATES POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Robert C. Jones 0 0 0 0
Chansoo Joung 0 0 0 0
Andrew J. Kaiser 0 0 0 0
Ann F. Kaplan 21 0 21 0
Barry A. Kaplan 0 0 0 0
David A. Kaplan 0 0 0 0
Jason S. Kaplan 0 0 0 0
Robert S. Kaplan 0 0 0 0
Scott B. Kapnick 0 0 0 0
Erland S. Karlsson Sweden 0 0 0 0
James M. Karp 0 0 0 0
Richard Katz 0 0 0 0
Robert J. Katz 0 0 0 0
Sofia Katzap 0 0 0 0
David K. Kaugher 0 0 0 0
Tetsuya Kawano Japan 0 0 0 0
R. Mark Keating 0 0 0 0
John L. Kelly 0 0 0 0
Kevin W. Kennedy 0 0 0 0
Thomas J. Kenny 0 0 0 0
Lawrence S. Keusch 0 0 0 0
Rustom N. Khandalavala 0 0 0 0
Peter D. Kiernan III 0 0 0 0
James T. Kiernan, Jr. 0 0 0 0
Sun Bae Kim Canada 0 0 0 0
Douglas W. Kimmelman 0 0 0 0
Colin E. King Canada 0 0 0 0
Robert C. King, Jr. 0 0 0 0
Adrian P. Kingshott UK 0 0 0 0
Timothy M. Kingston 0 0 0 0
Lincoln Kinnicutt 0 0 0 0
Ewan M. Kirk UK 0 0 0 0
Daniel H. Klebes II 0 0 0 0
Michael K. Klingher 0 0 0 0
Craig A. Kloner 0 0 0 0
Jonathan R. Knight UK 0 0 0 0
</TABLE>
11
<PAGE> 12
<TABLE>
<CAPTION>
ITEM 6 ITEM 9
CITIZENSHIP ITEM 7 ITEM 8 SOLE ITEM 10
(UNITED STATES SOLE VOTING SHARED VOTING DISPOSITIVE SHARED
UNLESS POWER OF POWER OF POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED UNCOVERED UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ------ ----------------
<S> <C> <C> <C> <C> <C>
Bradford C. Koenig 0 0 0 0
Mark J. Kogan 0 0 0 0
Stanley Kogelman 0 0 0 0
Jonathan L. Kolatch 0 0 0 0
Richard E. Kolman 0 0 0 0
David J. Kostin 0 0 0 0
Koji Kotaka Japan 0 0 0 0
Peter S. Kraus 0 15(9) 0 15(9)
Lawrence Kutscher 0 0 0 0
Christoph M. Ladanyi Austria 0 0 0 0
Peggy A. Lamb 0 0 0 0
David G. Lambert 0 0 0 0
Thomas K. Lane 0 0 0 0
Pierre F. Lapeyre, Jr. 0 0 0 0
Bruce M. Larson 0 0 0 0
Thomas D. Lasersohn 0 0 0 0
Anthony D. Lauto 0 0 0 0
John J. Lauto 0 0 0 0
Matthew Lavicka 0 0 0 0
David N. Lawrence 0 0 0 0
Peter Layton 0 0 0 0
Susan R. Leadem 0 0 0 0
Andrew D. Learoyd UK 0 0 0 0
Chang-Ho J. Lee USA/South Korea 0 0 0 0
Donald C. Lee 0 0 0 0
Kenneth H. M. Leet 0 0 0 0
Anthony J. Leitner 0 0 0 0
Paulo C. Leme 0 0 0 0
Hughes B. Lepic France 0 0 0 0
Alan B. Levande 0 0 0 0
Ronald S. Levin 0 0 0 0
Jack Levy 0 0 0 0
Thomas B. Lewis, Jr. 0 0 0 0
Mark E. Leydecker 0 0 0 0
Matthew G. L'Heureux 0 0 0 0
Gwen R. Libstag 0 0 0 0
Stephen C. Lichtenauer 0 0 0 0
Roger A. Liddell UK 0 0 0 0
Richard J. Lieb 0 0 0 0
Mitchell J. Lieberman 0 0 0 0
Syaru Shirley Lin 0 0 0 0
Josephine Linden UK 0 0 0 0
Lawrence H. Linden 0 0 0 0
Robert Litterman 0 0 0 0
</TABLE>
----------------------------------
(9) Shared with family members.
12
<PAGE> 13
<TABLE>
<CAPTION>
ITEM 6 ITEM 10
CITIZENSHIP ITEM 8 ITEM 9 SHARED
(UNITED STATES ITEM 7 SHARED SOLE DISPOSITIVE
UNLESS SOLE VOTING VOTING POWER DISPOSITIVE POWER OF
ITEM 1 OTHERWISE POWER OF OF UNCOVERED POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ---------------- ------ ---------------- ------
<S> <C> <C> <C> <C> <C>
Robert H. Litzenberger 0 0 0 0
David McD A. Livingstone Australia 0 0 0 0
Douglas F. Londal 0 0 0 0
Jacques M. Longerstaey USA/Belgium 0 0 0 0
Jonathan M. Lopatin 0 0 0 0
Francisco Lopez-Balboa 0 0 0 0
Victor M. Lopez-Balboa 0 0 0 0
Antigone Loudiadis UK 0 0 0 0
C. Richard Lucy 0 0 0 0
Michael C. Luethke 0 0 0 0
Kevin L. Lundeen 0 0 0 0
Michael R. Lynch 0 0 0 0
Shogo Maeda Japan 0 0 0 0
John A. Mahoney 0 0 0 0
Sean O. Mahoney 0 0 0 0
Russell E. Makowsky 0 0 0 0
Peter G. C. Mallinson UK 0 0 0 0
Kathleen M. Maloney 0 0 0 0
Charles G. R. Manby UK 0 0 0 0
Robert S. Mancini 0 0 0 0
Barry A. Mannis 0 0 0 0
Arthur S. Margulis, Jr. 0 0 0 0
Jorge O. Mariscal Mexico 0 0 0 0
Richard J. Markowitz 0 0 0 0
Ronald G. Marks 0 0 0 0
Robert J. Markwick UK 0 0 0 0
Eff W. Martin 0 0 0 0
Jacques Martin Canada 0 0 0 0
John J. Masterson 0 0 0 0
David J. Mastrocola 0 0 0 0
Kathy M. Matsui 0 0 0 0
Tadanori Matsumura Japan 0 0 0 0
Heinz Thomas Mayer Germany 0 0 0 0
Thomas J. McAdam 0 0 0 0
Richard F. McArdle 0 0 0 0
Theresa E. McCabe 0 0 0 0
Joseph M. McConnell 0 0 0 0
</TABLE>
13
<PAGE> 14
<TABLE>
<CAPTION>
ITEM 6
CITIZENSHIP ITEM 7 ITEM 9 ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 SOLE SHARED
UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ---------------- ---------------- ----------------
<S> <C> <C> <C> <C> <C>
Mark E. McGoldrick 0 0 0 0
Joseph P. McGrath Jr. 0 0 0 0
Stephen J. McGuinness 0 0 0 0
John C. McIntire 0 0 0 0
John W. McMahon 0 0 0 0
Geraldine F. McManus 0 0 0 0
Richard P. McNeil Jamaica 0 0 0 0
Audrey A. McNiff 0 0 0 0
Anne Welsh McNulty 0 0 0 0
John P. McNulty 0 0 0 0
E. Scott Mead 0 0 0 0
David M. Meerschwam The Netherlands 0 0 0 0
Sanjeev K. Mehra India 0 0 0 0
Michael C. Melignano 0 0 0 0
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 10
CITIZENSHIP ITEM 7 ITEM 9 SHARED
(UNITED SOLE VOTING ITEM 8 SOLE DISPOSITIVE
STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ------ ---------------- ---------------- ------
<S> <C> <C> <C> <C> <C>
Sharmin Mossavar-Rahmani UK 0 0 0 0
Gregory T. Mount 0 0 0 0
Ian Mukherjee UK 0 0 0 0
Edward A. Mule 0 0 0 0
Eric D. Mullins 0 0 0 0
Donald J. Mulvihill 0 0 0 0
Patrick E. Mulvihill Ireland 0 0 0 0
Richard A. Murley UK 0 0 0 0
Philip D. Murphy 43 0 43 0
Thomas S. Murphy, Jr. 0 0 0 0
Gaetano J. Muzio 0 0 0 0
Michiya Nagai Japan 0 0 0 0
Gabrielle U. Napolitano 0 0 0 0
Avi M. Nash 0 0 0 0
Trevor P. Nash UK 0 0 0 0
Warwick M. Negus Australia 0 0 0 0
Daniel M. Neidich 22 0 22 0
Kipp M. Nelson 0 0 0 0
Robin Neustein 0 0 0 0
Duncan L. Niederauer 0 0 0 0
Susan M. Noble UK 0 0 0 0
Suok J. Noh 0 0 0 0
Suzanne M. Nora Johnson 0 0 0 0
Christopher K. Norton 0 0 0 0
Michael E. Novogratz 0 0 0 0
Jay S. Nydick 0 0 0 0
Katherine K. Oakley 0 0 0 0
Alok Oberoi India 0 0 0 0
David Ogens 0 0 0 0
Jinsuk T. Oh South Korea 0 0 0 0
John C. O'Hara 0 0 0 0
Terence J. O'Neill UK 0 0 0 0
Timothy J. O'Neill 0 0 0 0
Richard T. Ong Malaysia 0 0 0 0
Ronald M. Ongaro 0 0 0 0
Donald C. Opatrny, Jr. 0 0 0 0
Daniel B. O'Rourke 0 0 0 0
</TABLE>
15
<PAGE> 16
<TABLE>
<CAPTION>
ITEM 6 ITEM 9 ITEM 10
CITIZENSHIP ITEM 8 SOLE SHARED
(UNITED STATES ITEM 7 SHARED VOTING DISPOSITIVE DISPOSITIVE
UNLESS SOLE VOTING POWER OF POWER OF POWER OF
ITEM 1 OTHERWISE POWER OF UNCOVERED UNCOVERED UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES SHARES SHARES
-------------------------- ---------- ---------------- ------ ------ ------
<S> <C> <C> <C> <C> <C>
Robert J. O'Shea 0 0 0 0
Joel D. Ospa 0 0 0 0
Greg M. Ostroff 0 0 0 0
Terence M. O'Toole 0 0 0 0
Robert J. Pace 0 0 0 0
Robert N. Packer 0 0 0 0
Gregory K. Palm 0 0 0 0
Mukesh K. Parekh 0 0 0 0
Geoffrey M. Parker 0 0 0 0
Melissa B. Patrusky 0 0 0 0
Henry M. Paulson, Jr. 0 0 0 0
David B. Philip 0 0 0 0
Paul A. Phillips 0 0 0 0
Alberto M. Piedra, Jr. 0 0 0 0
Stephen R. Pierce 0 0 0 0
Philip J. Pifer 0 0 0 0
Scott M. Pinkus 0 0 0 0
Timothy C. Plaut Germany 0 0 0 0
Andrea Ponti Italy/USA 0 0 0 0
Ellen R. Porges 0 0 0 0
Wiet H. M. Pot The Netherlands 0 0 0 0
Michael J. Poulter UK 0 0 0 0
John J. Powers 0 0 0 0
Richard H. Powers 0 0 0 0
Michael A. Price 0 0 0 0
Scott Prince 0 0 0 0
Nomi M. Prins 0 0 0 0
Goran V. Puljic 0 0 0 0
Alok Puri UK 0 0 0 0
Kevin A. Quinn 0 0 0 0
Stephen D. Quinn 0 0 0 0
John J. Rafter Ireland 0 0 0 0
Jonathan Raleigh 0 0 0 0
Dioscoro-Roy I. Ramos Phillippines 0 0 0 0
Gregory G. Randolph 0 0 0 0
Charlotte P. Ransom UK 0 0 0 0
Michael G. Rantz 0 0 0 0
Joseph Ravitch 0 0 0 0
Girish V. Reddy 0 0 0 0
Arthur J. Reimers III 0 0 0 0
Anthony John Reizenstein UK 0 0 0 0
James P. Riley, Jr. 0 0 0 0
Kimberly E. Ritrievi 0 0 0 0
John Rizner 0 0 0 0
Simon M. Robertson UK 0 0 0 0
</TABLE>
16
<PAGE> 17
<TABLE>
<CAPTION>
ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10
CITIZENSHIP SOLE VOTING SHARED VOTING SOLE SHARED
(UNITED STATES POWER OF POWER OF DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ------ ---------------- ----------------
<S> <C> <C> <C> <C> <C>
J. David Rogers 0 0 0 0
John F. W. Rogers 0 0 0 0
Emmanuel Roman France 0 0 0 0
Eileen P. Rominger 0 0 0 0
Pamela P. Root 0 0 0 0
Ralph F. Rosenberg 0 0 0 0
Jacob D. Rosengarten 0 0 0 0
Richard J. Rosenstein 0 0 0 0
Ivan Ross 0 0 0 0
Stuart M. Rothenberg 0 0 0 0
Stuart R. Rubenstein 0 0 0 0
Michael S. Rubinoff 0 0 0 0
Ernest H. Ruehl, Jr. 0 0 0 0
Paul M. Russo 0 0 0 0
Richard M. Ruzika 0 0 0 0
Jeri Lynn Ryan 0 0 0 0
John C. Ryan 0 0 0 0
Michael D. Ryan 0 0 0 0
Katsunori Sago Japan 0 0 0 0
Pablo J. Salame Ecuador 0 0 0 0
J. Michael Sanders 0 0 0 0
Allen Sangines-Krause Mexico 0 0 0 0
Richard A. Sapp 0 0 0 0
Joseph Sassoon Israel 0 0 0 0
Tsutomu Sato Japan 240 0 240 0
Muneer A. Satter 0 0 0 0
Jonathan S. Savitz 0 0 0 0
Peter Savitz 0 0 0 0
Paul S. Schapira Italy 0 0 0 0
P. Sheridan Schechner 1,000 0 1,000 0
Gary B. Schermerhorn 0 0 0 0
Mitchell I. Scherzer Canada 0 0 0 0
Howard B. Schiller 0 0 0 0
Jeffrey W. Schroeder 0 0 0 0
Antoine Schwartz France 0 0 0 0
Eric S. Schwartz 0 0 0 0
Harvey M. Schwartz 0 0 0 0
Mark Schwartz 0 0 0 0
Steven M. Scopellite 0 0 0 0
David J. Scudellari 0 0 0 0
Charles B. Seelig, Jr. 0 0 0 0
Karen D. Seitz 0 0 0 0
Randolph Sesson, Jr. 0 0 0 0
Steven M. Shafran 0 0 0 0
</TABLE>
17
<PAGE> 18
<TABLE>
<CAPTION>
ITEM 10
ITEM 6 ITEM 7 ITEM 9 SHARED
CITIZENSHIP SOLE VOTING ITEM 8 SOLE DISPOSITIVE
(UNITED STATES POWER OF SHARED VOTING DISPOSITIVE POWER OF
ITEM 1 UNLESS OTHERWISE UNCOVERED POWER OF POWER OF UNCOVERED
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES SHARES
-------------------------- ---------- ------ ---------------- ---------------- ------
<S> <C> <C> <C> <C> <C>
Richard S. Sharp UK 0 0 0 0
John P. Shaughnessy 0 0 0 0
Robert J. Shea, Jr. 0 0 0 0
James M. Sheridan 0 0 0 0
Richard G. Sherlund 0 0 0 0
Michael S. Sherwood UK 0 0 0 0
Michael H. Siegel 0 0 0 0
Howard A. Silverstein 0 0 0 0
Richard P. Simon 0 0 0 0
Victor R. Simone, Jr. 0 0 0 0
Dinakar Singh 0 0 0 0
Ravi M. Singh 0 0 0 0
Ravi Sinha India/USA 0 0 0 0
Allen W. Sinsheimer 0 0 0 0
Edward M. Siskind 0 0 0 0
Christian J. Siva-Jothy UK 0 0 0 0
Mark F. Slaughter 0 0 0 0
Linda J. Slotnick 0 0 0 0
Cody J Smith 0 0 0 0
Derek S. Smith 0 0 0 0
Michael M. Smith 0 0 0 0
Sarah E. Smith UK 0 0 0 0
Trevor A. Smith UK 0 0 0 0
Randolph C. Snook 0 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
CITIZENSHIP ITEM 8 ITEM 9 ITEM 10
(UNITED STATES ITEM 7 SHARED VOTING SOLE SHARED
UNLESS SOLE VOTING POWER OF DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE POWER OF UNCOVERED POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) UNCOVERED SHARES SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ---------------- ------ ---------------- ----------------
<S> <C> <C> <C> <C> <C>
Patrick Sullivan 0 0 0 0
Hsueh J. Sung Taiwan 0 0 0 0
George M. Suspanic Spain 0 0 0 0
Peter D. Sutherland S.C. Ireland 0 0 0 0
Andrew M. Swinburne UK 0 0 0 0
Gene T. Sykes 0 0 0 0
Shahriar Tadjbakhsh 0 0 0 0
Ronald K. Tanemura UK/USA 0 0 0 0
John H. Taylor 0 0 0 0
Robert E. Taylor 0 0 0 0
Greg W. Tebbe 0 0 0 0
Kiyotaka Teranishi Japan 0 0 0 0
Mark R. Tercek 0 0 0 0
Donald F. Textor 0 0 0 0
John A. Thain 0 0 0 0
Darren S. Thompson 0 0 0 0
John L. Thornton 0 0 0 0
Rory T. Tobin Ireland 0 0 0 0
Daisuke Toki Japan 0 0 0 0
Massimo Tononi Italy 0 0 0 0
John R. Tormondsen 0 0 0 0
Leslie C. Tortora 0 0 0 0
John L. Townsend III 0 0 0 0
Mark J. Tracey UK 0 0 0 0
Stephen S. Trevor 0 0 0 0
Byron D. Trott 0 0 0 0
Michael A. Troy 0 0 0 0
Donald J. Truesdale 0 0 0 0
Robert B. Tudor III 0 0 0 0
Thomas E. Tuft 0 0 0 0
John Tumilty UK 0 0 0 0
Barry S. Turkanis 0 0 0 0
Malcolm B. Turnbull Australia 554 0 554 0
Christopher H. Turner 0 0 0 0
Thomas B. Tyree, Jr. 0 0 0 0
Harkanwar Uberoi India 0 0 0 0
Kaysie P. Uniacke 0 0 0 0
John E. Urban 0 0 0 0
Hugo H. Van Vredenburch The Netherlands 0 0 0 0
Lee G. Vance 0 0 0 0
Corrado P. Varoli Canada 0 0 0 0
John J. Vaske 0 0 0 0
</TABLE>
19
<PAGE> 20
<TABLE>
<CAPTION>
ITEM 6
CITIZENSHIP ITEM 7 ITEM 9 ITEM 10
(UNITED SOLE VOTING ITEM 8 SOLE SHARED
STATES UNLESS POWER OF SHARED VOTING DISPOSITIVE DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF POWER OF POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES UNCOVERED SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ---------------- ---------------- ----------------
<S> <C> <C> <C> <C> <C>
David A. Viniar 0 0 0 0
Barry S. Volpert 0 0 0 0
George H. Walker IV 0 0 0 0
Thomas B. Walker III 0 0 0 0
Berent A. Wallendahl Norway 0 0 0 0
David R. Walton UK 0 0 0 0
Hsueh-Ming Wang 0 0 0 0
Patrick J. Ward 0 0 0 0
Haruko Watanuki Japan 0 0 0 0
Edward F. Watts, Jr. 0 300(11) 0 300(11)
David M. Weil 0 0 0 0
John S. Weinberg 0 0 0 0
Peter A. Weinberg 0 0 0 0
Helge Weiner-Trapness Sweden 0 0 0 0
Mark S. Weiss 0 0 0 0
George W. Wellde, Jr. 0 0 0 0
Bradley W. Wendt 0 0 0 0
Lance N. West 0 0 0 0
Peter Wheeler UK 0 0 0 0
Barbara A. White 0 0 0 0
A. Carver Wickman 0 0 0 0
Susan A. Willetts 0 0 0 0
Anthony G. Williams UK 0 0 0 0
Christopher G. Williams UK 0 0 0 0
Gary W. Williams 0 0 0 0
Todd A. Williams 0 0 0 0
John S. Willian 0 0 0 0
Kenneth W. Willman 0 0 0 0
Kevin D. Willsey 0 0 0 0
Andrew F. Wilson New Zealand 0 0 0 0
Kendrick R. Wilson III 0 0 0 0
Jon Winkelried 0 0 0 0
Steven J. Wisch 0 0 0 0
Michael S. Wishart 0 0 0 0
Richard E. Witten 0 0 0 0
William H. Wolf, Jr. 0 0 0 0
Tracy R. Wolstencroft 0 0 0 0
Zi Wang Xu Canada/ 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 6 ITEM 9
CITIZENSHIP ITEM 7 SOLE ITEM 10
(UNITED STATES SOLE VOTING ITEM 8 DISPOSITIVE SHARED
UNLESS POWER OF SHARED VOTING POWER OF DISPOSITIVE
ITEM 1 OTHERWISE UNCOVERED POWER OF UNCOVERED POWER OF
NAMES OF REPORTING PERSONS INDICATED) SHARES UNCOVERED SHARES SHARES UNCOVERED SHARES
-------------------------- ---------- ------ ---------------- ------ ----------------
<S> <C> <C> <C> <C> <C>
Danny O. Yee 0 0 0
Jaime E. Yordan 0 0 0 0
W. Thomas York, Jr. 0 0 0 0
Paul M. Young 0 0 0 0
Richard M. Young 0 0 0 0
Michael J. Zamkow 0 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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 9 ITEM 10
ORGANIZATION ITEM 7 ITEM 8 SOLE SHARED
(NEW YORK SOLE VOTING SHARED DISPOSITIVE DISPOSITIVE
ITEM 1 UNLESS POWER OF VOTING POWER POWER OF POWER OF
NAMES OF REPORTING OTHERWISE UNCOVERED OF 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. 5 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. 5 is being filed principally because on August 1, 2000,
certain Covered Persons agreed to sell Covered Shares in an underwritten
registered public offering.
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 Persons listed in
Appendix A under the caption "Corporations" (a "Corporate Estate Planning
Covered Person") is controlled by an Individual Covered Person (the "Controlling
Covered Person"). The name, citizenship, business address and present principal
occupation or employment of each of the directors and executive officers of each
Corporate Estate Planning Covered Person (other than the Controlling Covered
Person) is set forth in Annex A hereto. The business address of each Covered
Person for purposes of this Schedule is: (i) in the case of entities organized
in Jersey, 26 New Street, St. Helier, Jersey, JE4 3RA; (ii) in the case of
entities organized in the Cayman Islands, P.O. Box 309, Ugland House, South
Church Street, George Town, Grand Cayman, Cayman Islands; and (iii) in the case
of all other Covered Persons, 85 Broad Street, New York, New York 10004.
(d), (e) Except as described in Annex A or Annex B, during the last
five years, no Covered Person or, to the best knowledge of the Covered Persons,
any executive officer or director of a Covered Person, has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction resulting in such Covered Person being subject to a
judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding
any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration
The Covered Shares have been and will be acquired by the Covered
Persons in the following manner: (i) the former profit participating limited
partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.")
(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
36
<PAGE> 37
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.
Covered Persons may from time to time acquire Uncovered Shares for
investment purposes. Except as described in Item 6 and except for the
acquisition by Covered Persons of Common Stock pursuant to employee
compensation, benefit or similar plans of GS Inc. in the future or as described
above, none of the Covered Persons has any plans or proposals which relate to or
would result in their acquisition of additional Common Stock or any of the other
events described in Item 4(a) through 4(j).
Each Covered Person is expected to evaluate on an ongoing basis GS
Inc.'s financial condition and prospects and his or her interests in and with
respect to GS Inc. Accordingly, each Covered Person may change his or her plans
and intentions at any time and from time to time. In particular, each Covered
Person may at any time and from time to time acquire or dispose of shares of
Common Stock.
Item 5. Interest in Securities of the Issuer
(a) Rows (11) and (13) of the cover page to this Schedule, Appendix A
and Annex A are hereby incorporated by reference. Each Covered Person hereby
disclaims beneficial ownership of any shares of Common Stock held by any other
Covered Person and disclaims beneficial ownership of the SBCM Shares and the KAA
Shares. Except as described in Annex C, none of the shares of Common Stock
reported in rows (11) and (13) of the cover page to this Schedule and Appendix A
are shares as to which there is a right to acquire exercisable within 60 days.
(b) Rows (7) through (10) of the cover page to this Schedule, Appendix
A and Annex A set forth the percentage range of Covered Shares as to which there
is sole power to vote or direct the vote or to dispose or direct the
disposition; the number of Uncovered Shares as to which there is sole power to
vote or direct the vote or to dispose or direct the disposition; and the number
of shares of Common Stock as to which there is shared power to
37
<PAGE> 38
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 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.
38
<PAGE> 39
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.
The Shareholders' Committee will waive the Partner Transfer
Restrictions to permit the sale of Covered Shares by certain Covered Persons in
a registered underwritten public offering, as described in Annex D.
On July 31, 2000, the Shareholders' Committee waived the Partner
Transfer Restrictions solely to permit certain Covered Persons to pledge a
portion of their Covered Shares to obtain approximately $400,000,000 in loan
commitments to make investments from time to time in certain merchant banking
funds sponsored by GS Inc. The loan commitments are for five years, may be drawn
upon from time to time and generally require that any loans be collateralized by
shares of Common Stock with a market value four times that of the amount
borrowed.
In the case of a third-party tender or exchange offer, the Transfer
Restrictions may be waived or terminated: if the board of directors is
recommending acceptance or is not making any recommendation with respect to
acceptance of the tender or exchange offer, by a majority of the Voting
Interests (as defined below); or if the board of directors is recommending
rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting
Interests.
In the case of a tender or exchange offer by GS Inc., a majority of the
outstanding Voting Interests may also elect to waive or terminate the Transfer
Restrictions.
VOTING
Prior to any vote of the shareholders of GS Inc., the Shareholders'
Agreement requires a separate, preliminary vote of the Voting Interests on each
matter upon which a vote of the shareholders is proposed to be taken (the
"Preliminary Vote"). Each Covered Share held by an Employee Covered Person and
each other Covered Share subject to the Partner Transfer Restrictions will be
voted in accordance with the majority of the votes cast by the Voting Interests
in the Preliminary Vote. In elections of directors, each Covered Share will be
voted in favor of the election of those persons receiving the highest numbers of
votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests"
are Covered Shares beneficially owned by all Covered Persons through December
31, 2000 and thereafter are Covered Shares beneficially owned by all Employee
Covered Persons.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits the Covered Persons from
engaging in certain activities relating to any securities of GS Inc. with any
person who is not a Covered Person or a director, officer or employee of GS Inc.
("Restricted Persons"). Among other things, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
Covered Shares in a voting trust or subject any Covered Shares to any voting
agreement or arrangement that includes any Restricted Person; form, join or in
any way participate in a "group" with any Restricted Person; or together with
any Restricted Person, propose certain transactions with GS Inc. or seek the
removal of any directors of GS Inc. or any change in the composition of the
board of directors.
TERM, AMENDMENT AND CONTINUATION
The Shareholders' Agreement is to continue in effect until the earlier
of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the
outstanding Voting Interests. The Partner Transfer Restrictions will not
39
<PAGE> 40
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 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
40
<PAGE> 41
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 the third table in
Annex D (the "Selling Stockholders") entered into the Underwriting Agreements
with the underwriters listed therein (the "Underwriters"). Under the
Underwriting Agreements, the Selling Stockholders have severally agreed to sell
an aggregate of 16,140,413 Covered Shares to the Underwriters, at $99.75 per
share, for settlement on August 7, 2000. The Selling Stockholders have also
granted the Underwriters the option to purchase up to an additional 5,908,457
Covered Shares, at $99.75 per share, at any time prior to August 31, 2000.
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
41
<PAGE> 42
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
Exhibit Description
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated
by reference to Exhibit A to the Schedule 13D filed May 17,
1999 (File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and
Sumitomo Bank Capital Markets, Inc. (incorporated by reference
to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (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)).
43
<PAGE> 44
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.
R. Supplemental Registration Rights Instrument, dated as of June
19, 2000.
S. Supplemental Registration Rights Instrument, dated as of July
31, 2000.
T. Underwriting Agreement (U.S. Version), dated as of August 1,
2000.
U. Underwriting Agreement (International Version), dated as of
August 1, 2000.
V. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000.
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)).
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
FEDERAL OR THE COMMON
STATE LAWS STOCK OF THE
PRESENT WITHIN THE LAST GOLDMAN SACHS
NAME CITIZENSHIP BUSINESS ADDRESS EMPLOYMENT FIVE YEARS GROUP, INC.
----------------- ----------- --------------------- ----------------------- --------------- --------------------
<S> <C> <C> <C> <C> <C>
Steven M. Bunson USA 85 Broad Street Managing Director, The None Covered Person, so
New York, NY Goldman Sachs Group, ownership is as set
10004 Inc. forth in or
incorporated into
Item 5 above.
Russell E. USA 85 Broad Street Managing Director, The None Covered Person, so
Makowsky New York, NY Goldman Sachs Group, ownership is as set
10004 Inc. forth in or
incorporated into
Item 5 above.
Michael H. UK 26 New Street, Partner, None None
Richardson St. Helier, Jersey, Bedell Cristin
JE4 3RA
</TABLE>
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, although
immediately convertible into Common Stock, cannot currently be converted by SBCM
due to restrictions imposed under the Bank Holding Company Act of 1956, as
amended.
On September 24, 2000, 20,709 shares of Common Stock will be delivered pursuant
to the terms of an equal number of restricted stock units, and 32,046 shares of
Common Stock will be delivered upon the exercise of stock options. 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
On July 12, 2000, the transfer restrictions on an aggregate of 165,750 shares of
Common Stock were waived to permit the donation of these Covered Shares by 10
Covered Persons to CAF Nominees Ltd., a public charitable institute.
The following sales of shares of Common Stock were made by the following Covered
Persons through Goldman, Sachs & Co. for cash on the New York Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
----------------------- ---------- ---------------- ---------------
<S> <C> <C> <C>
Jaime E. Yordan 7/12/00 12,500 $100.13
Jaime E. Yordan 7/13/00 10,000 103.56
John P. Curtin, Jr. 7/20/00 10,000 104.16
</TABLE>
The following sales of shares of Common Stock were made by the following Covered
Persons through ChaseMellon Financial Services, L.L.C. for cash on the New York
Stock Exchange:
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
---------------------------------- ---------------- ------------------ -----------------
<S> <C> <C> <C>
Charles K. Brown 7/10/00 1,978 $95.78
Matthieu B. Duncan 7/10/00 249 95.78
Matthieu B. Duncan 7/10/00 987 95.78
Matthias K. Frisch 7/10/00 700 95.78
Robert G. Hottensen, Jr. 7/10/00 1,700 95.78
Ewan M. Kirk 7/10/00 230 95.78
James P. Ziperski 7/10/00 560 95.78
John S. Barakat 7/11/00 2,072 97.66
Timothy B. Bunting 7/11/00 1,972 97.66
Lawrence V. Calcano 7/11/00 3,239 97.66
Carmine C. Capossela 7/11/00 1,074 97.66
Calvin R. Carver, Jr. 7/11/00 400 97.66
Andrew C. Devenport 7/11/00 459 97.66
Alexander S. Ehrlich 7/11/00 1,300 97.66
David J. Greenwald 7/11/00 600 97.66
Timothy E. Hodgson 7/11/00 1,717 97.66
David A. Kaplan 7/11/00 112 97.66
David A. Kaplan 7/11/00 1,265 97.66
Peggy A. Lamb 7/11/00 978 97.66
John J. Lauto 7/11/00 991 97.66
Antigone Loudiadis 7/11/00 1,799 97.66
John F. W. Rogers 7/11/00 1,000 97.66
Katsunori Sago 7/11/00 2,985 97.66
J. Michael Sanders 7/11/00 1,000 97.66
Mitchell I. Scherzer 7/11/00 750 97.66
Harvey M. Schwartz 7/11/00 1,061 97.66
Robert J. Shea, Jr. 7/11/00 1,420 97.66
Linda J. Slotnick 7/11/00 1,307 97.66
Andrew J. Stuart 7/11/00 400 97.66
Andrew J. Stuart 7/11/00 1,000 97.66
Richard M. Young 7/11/00 693 97.66
</TABLE>
48
<PAGE> 49
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
---------------------------------- ---------------- ------------------ -----------------
<S> <C> <C> <C>
James P. Ziperski 7/11/00 544 97.66
Calvin R. Carver, Jr. 7/12/00 400 102.09
John J. Rafter 7/12/00 1,213 102.09
John J. Rafter 7/12/00 896 102.09
J. Michael Sanders 7/12/00 642 102.09
Allen W. Sinsheimer 7/12/00 1,165 102.09
Allen W. Sinsheimer 7/12/00 352 102.09
Rory T. Tobin 7/12/00 200 102.09
Daisuke Toki 7/12/00 800 102.09
James P. Ziperski 7/12/00 500 102.09
Peter C. Aberg 7/13/00 1,250 101.91
Charles W.A. Bott 7/13/00 1,978 101.91
Douglas W. Caterfino 7/13/00 236 101.91
Robert J. Christie 7/13/00 1,000 101.91
Simon P. Dingemans 7/13/00 1,370 101.91
William C. Dudley 7/13/00 362 101.91
John E. Eisenberg 7/13/00 140 101.91
Christopher Grigg 7/13/00 1,350 101.91
Daniel E. Holland III 7/13/00 1,000 101.91
Rustom N. Khandalavala 7/13/00 1,000 101.91
Jacques Martin 7/13/00 1,285 101.91
Jeffrey M. Moslow 7/13/00 1,500 101.91
Trevor P. Nash 7/13/00 1,624 101.91
Joseph Ravitch 7/13/00 1,000 101.91
Harvey M. Schwartz 7/13/00 500 101.91
Rory T. Tobin 7/13/00 200 101.91
Rory T. Tobin 7/13/00 213 101.91
John S. Willian 7/13/00 1,000 101.91
Lay Pheng Ang 7/14/00 1,000 104.66
Calvin R. Carver, Jr. 7/14/00 400 104.66
Matthew S. Darnall 7/14/00 750 104.66
Matthias K. Frisch 7/14/00 200 104.66
Bruce M. Larson 7/14/00 1,050 104.66
Richard J. Markowitz 7/14/00 1,741 104.66
Amos Meron 7/14/00 1,343 104.66
Kurt C. Mobley 7/14/00 2,000 104.66
Jeffrey M. Moslow 7/14/00 720 104.66
Paul S. Schapira 7/14/00 206 104.66
Paul S. Schapira 7/14/00 294 104.66
Philippe J. Altuzarra 7/17/00 3,110 101.36
Patrick Y. Baune 7/17/00 1,080 101.36
Martin R. Devenish 7/17/00 668 101.36
Davide G. Erro 7/17/00 652 101.36
Davide G. Erro 7/17/00 959 101.36
Bruce J. Evans 7/17/00 1,000 101.36
Nobumichi Hattori 7/17/00 1,414 101.36
R. Mark Keating 7/17/00 639 101.36
Gregory T. Mount 7/17/00 962 101.36
Melissa B. Patrusky 7/17/00 1,414 101.36
David M. Weil 7/17/00 1,706 101.36
Xiang-Dong Yang 7/17/00 1,618 101.36
Robert A. Beckwitt 7/18/00 1,256 103.10
James J. Birch 7/18/00 1,000 103.10
Calvin R. Carver, Jr. 7/18/00 300 103.10
</TABLE>
49
<PAGE> 50
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
---------------------------------- ---------------- ------------------ -----------------
<S> <C> <C> <C>
David K. Kaugher 7/18/00 300 103.10
Andrew D. Learoyd 7/18/00 1,246 103.10
Stephen J. McGuinness 7/18/00 2,038 103.10
Andrea Ponti 7/18/00 1,093 103.10
Andrew J. Stuart 7/18/00 618 103.10
Andrew J. Stuart 7/18/00 958 103.10
Kenneth W. Willman 7/18/00 121 103.10
Kenneth W. Willman 7/18/00 213 103.10
Paolo Zannoni 7/18/00 1,974 103.10
Paolo Zannoni 7/18/00 843 103.10
Michael S. Burton 7/19/00 1,571 101.14
Richard M. Campbell-Breeden 7/19/00 1,454 101.14
Stephen C. Fitzgerald 7/19/00 728 101.14
Stephen C. Fitzgerald 7/19/00 839 101.14
Isabelle Hayen 7/19/00 1,086 101.14
Isabelle Hayen 7/19/00 1,099 101.14
Mark M. Jacobs 7/19/00 1,775 101.14
Richard Katz 7/19/00 1,345 101.14
R. Mark Keating 7/19/00 1,000 101.14
Mark E. Leydecker 7/19/00 1,376 101.14
Richard J. Lieb 7/19/00 2,083 101.14
James E. Milligan 7/19/00 71 101.14
Goran V. Puljic 7/19/00 1,543 101.14
Paul S. Schapira 7/19/00 523 101.14
Mark F. Slaughter 7/19/00 545 101.14
John H. Taylor 7/19/00 823 101.14
Rory T. Tobin 7/19/00 200 101.14
James J. Birch 7/20/00 1,533 103.06
Calvin R. Carver, Jr. 7/20/00 400 103.06
Robert J. Christie 7/20/00 1,424 103.06
Marc I. Cohen 7/20/00 2,005 103.06
Matthew T. Fremont-Smith 7/20/00 1,540 103.06
Charles G. R. Manby 7/20/00 2,294 103.06
Warwick M. Negus 7/20/00 51 103.06
Warwick M. Negus 7/20/00 904 103.06
P. Sheridan Schechner 7/20/00 1,500 103.06
Mark F. Slaughter 7/20/00 980 103.06
Michael M. Smith 7/20/00 2,197 103.06
Steven H. Strongin 7/20/00 460 103.06
John Tumilty 7/20/00 595 103.06
Carl-Georg Bauer-Schlichtegroll 7/21/00 1,129 103.68
Stuart N. Bernstein 7/21/00 503 103.68
Randall A. Blumenthal 7/21/00 1,182 103.68
Virginia E. Carter 7/21/00 1,274 103.68
Neil D. Crowder 7/21/00 1,092 103.68
Matthias K. Frisch 7/21/00 800 103.68
Arthur J. Hass 7/21/00 1,000 103.68
Teresa E. Holliday 7/21/00 193 103.68
Robert D. Hormats 7/21/00 1,164 103.68
Thomas B. Lewis, Jr. 7/21/00 500 103.68
Jorge O. Mariscal 7/21/00 1,000 103.68
Andrea Ponti 7/21/00 876 103.68
Kevin A. Quinn 7/21/00 1,491 103.68
Richard P. Simon 7/21/00 1,966 103.68
</TABLE>
50
<PAGE> 51
<TABLE>
<CAPTION>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE
---------------------------------- ---------------- ------------------ -----------------
<S> <C> <C> <C>
Ravi M. Singh 7/21/00 1,472 103.68
Judah C. Sommer 7/21/00 1,231 103.68
Todd A. Williams 7/21/00 1,691 103.68
</TABLE>
Each of the following Covered Persons has agreed in the Underwriting Agreements
referred to in Item 6 above to sell to the Underwriters, on August 7, 2000, the
number of shares of Common Stock listed opposite such Covered Person's name at a
price of $99.75 per share.
<TABLE>
<CAPTION>
NUMBER OF
NUMBER OF SHARES, SHARES, ASSUMING
ASSUMING NO THE UNDERWRITERS
EXERCISE OF THE EXERCISE THEIR
UNDERWRITERS' OPTIONS TO
OPTIONS TO PURCHASE PURCHASE
COVERED PERSON ADDITIONAL SHARES ADDITIONAL SHARES
---------------------------------------- ------------------- ------------------
<S> <C> <C>
Bradley I. Abelow 37,064 50,632
Andrew M. Alper 38,840 53,058
Armen A. Avanessians 109,564 149,671
David Baum 38,109 52,059
Ron E. Beller 76,309 104,243
Milton R. Berlinski 61,497 84,009
Lloyd C. Blankfein 194,200 265,290
David W. Blood 64,733 88,430
Peter L. Briger, Jr. 78,980 107,893
Richard J. Bronks 38,553 52,665
Lawrence R. Buchalter 72,361 98,850
Christopher J. Carrera 38,172 52,145
Mary Ann Casati 38,193 52,174
Zachariah Cobrinik 101,542 138,713
Gary D. Cohn 133,875 182,882
Christopher A. Cole 97,100 132,645
Carlos A. Cordeiro 141,577 193,404
Henry Cornell 66,941 91,445
Jon S. Corzine 411,668 562,366
Frank L. Coulson, Jr. 152,123 207,811
Randolph L. Cowen 69,709 95,228
Timothy D. Dattels 72,406 98,911
Gavyn Davies 219,572 299,949
David A. Dechman 37,937 51,824
Robert V. Delaney, Jr. 113,676 155,289
Alexander C. Dibelius 24,481 33,442
John O. Downing 129,467 176,860
C. Steven Duncker 48,550 66,323
Glenn P. Earle 72,332 98,811
Paul S. Efron 38,840 53,058
Pieter Maarten Feenstra 40,216 54,938
Lawton W. Fitt 112,455 153,621
David B. Ford 71,207 97,273
Edward C. Forst 32,367 44,215
Christopher G. French 39,391 53,811
Richard A. Friedman 226,567 309,505
Joseph D. Gatto 113,267 154,730
Peter C. Gerhard 135,070 184,515
Jeffrey B. Goldenberg 25,524 34,867
</TABLE>
51
<PAGE> 52
<TABLE>
<CAPTION>
NUMBER OF
NUMBER OF SHARES, SHARES, ASSUMING
ASSUMING NO THE UNDERWRITERS
EXERCISE OF THE EXERCISE THEIR
UNDERWRITERS' OPTIONS TO
OPTIONS TO PURCHASE PURCHASE
COVERED PERSON ADDITIONAL SHARES ADDITIONAL SHARES
---------------------------------------- ------------------- ------------------
<S> <C> <C>
Jacob D. Goldfield 205,203 280,321
Amy O. Goodfriend 25,893 35,372
Andrew M. Gordon 32,367 44,215
Geoffrey T. Grant 68,904 94,128
Joseph D. Gutman 46,940 64,123
Robert S. Harrison 79,110 108,069
Thomas J. Healey 142,100 194,118
Sylvain M. Hefes 9,440 67,806
David B. Heller 64,733 88,430
Mary C. Henry 71,094 97,119
Jacquelyn M. Hoffman-Zehner 55,658 76,032
Fern Hurst 32,367 44,215
Robert J. Hurst 184,490 252,026
Timothy J. Ingrassia 39,492 53,948
Reuben Jeffery III 143,700 196,304
Stefan J. Jentzsch 36,420 49,752
Barry A. Kaplan 71,228 97,302
Robert J. Katz 178,016 243,183
Kevin W. Kennedy 209,289 285,902
Douglas W. Kimmelman 69,610 95,092
Bradford C. Koenig 79,039 107,973
Jonathan L. Kolatch 84,177 114,992
David G. Lambert 56,251 76,843
Thomas D. Lasersohn 38,566 52,683
Matthew G. L'Heureux 37,545 51,289
Lawrence H. Linden 132,344 180,791
Robert Litterman 106,951 146,102
Robert H. Litzenberger 38,806 53,012
Jonathan M. Lopatin 93,992 128,399
Michael R. Lynch 168,307 229,918
Ronald G. Marks 72,561 99,123
Eff W. Martin 191,440 261,519
John P. McNulty 214,876 293,535
E. Scott Mead 122,993 168,017
T. Willem Mesdag 32,367 44,215
Eric M. Mindich 134,386 183,581
Steven T. Mnuchin 135,930 185,689
Karsten N. Moller 23,149 49,926
Thomas K. Montag 132,233 180,639
Robert B. Morris III 169,820 231,986
Michael Mortara 254,868 348,167
Sharmin Mossavar-Rahmani 113,283 154,753
Edward A. Mule 113,283 154,753
Thomas S. Murphy, Jr. 38,840 53,058
Avi M. Nash 38,840 53,058
Daniel M. Neidich 261,904 357,778
Kipp M. Nelson 86,543 118,223
Robin Neustein 174,061 237,779
</TABLE>
52
<PAGE> 53
<TABLE>
<CAPTION>
NUMBER OF
NUMBER OF SHARES, SHARES, ASSUMING
ASSUMING NO THE UNDERWRITERS
EXERCISE OF THE EXERCISE THEIR
UNDERWRITERS' OPTIONS TO
OPTIONS TO PURCHASE PURCHASE
COVERED PERSON ADDITIONAL SHARES ADDITIONAL SHARES
---------------------------------------- ------------------- ------------------
<S> <C> <C>
Suzanne M. Nora Johnson 139,532 190,610
Michael E. Novogratz 37,064 50,632
Terence J. O'Neill 130,590 178,395
Timothy J. O'Neill 152,771 208,695
Donald C. Opatrny, Jr. 196,140 267,940
Robert J. O'Shea 135,423 184,996
Greg M. Ostroff 39,123 53,444
Robert J. Pace 37,417 51,113
Gregory K. Palm 166,593 227,577
Scott M. Pinkus 180,004 245,897
John J. Powers 161,833 221,075
Michael A. Price 38,648 52,795
Scott Prince 38,184 52,162
Stephen D. Quinn 136,339 186,248
Michael G. Rantz 122,086 166,777
Girish V. Reddy 57,254 78,213
Arthur J. Reimers III 149,929 204,813
James P. Riley, Jr. 182,446 249,234
Simon M. Robertson 111,876 152,830
J. David Rogers 80,917 110,538
Emmanuel Roman 0 3,444
Ralph F. Rosenberg 37,108 50,693
Stuart M. Rothenberg 78,900 107,782
Michael S. Rubinoff 38,488 52,577
Richard M. Ruzika 37,007 50,554
Jeri Lynn Ryan 21,658 29,587
Michael D. Ryan 32,367 44,215
Joseph Sassoon 121,251 165,637
Muneer A. Satter 68,532 93,619
Jonathan S. Savitz 37,930 51,816
Peter Savitz 101,684 138,908
Howard B. Schiller 79,212 108,208
Antoine Schwartz 40,457 55,267
Eric S. Schwartz 133,528 182,408
Charles B. Seelig, Jr. 135,368 184,922
Steven M. Shafran 56,504 77,188
Richard G. Sherlund 112,714 153,974
Michael S. Sherwood 129,113 176,376
Howard A. Silverstein 89,332 122,033
Dinakar Singh 37,916 51,796
Christian J. Siva-Jothy 35,603 48,637
Cody J Smith 95,172 130,011
Jonathan S. Sobel 37,831 51,680
Marc A. Spilker 70,508 96,319
Daniel W. Stanton 119,757 163,596
Esta E. Stecher 98,590 134,681
Cathrine S. Steck 29,130 39,794
Fredric E. Steck 38,840 53,058
</TABLE>
53
<PAGE> 54
<TABLE>
<CAPTION>
NUMBER OF
NUMBER OF SHARES, SHARES, ASSUMING
ASSUMING NO THE UNDERWRITERS
EXERCISE OF THE EXERCISE THEIR
UNDERWRITERS' OPTIONS TO
OPTIONS TO PURCHASE PURCHASE
COVERED PERSON ADDITIONAL SHARES ADDITIONAL SHARES
---------------------------------------- ------------------- ------------------
<S> <C> <C>
Gene T. Sykes 129,467 176,860
Mark R. Tercek 81,969 111,974
Donald F. Textor 125,735 171,762
John R. Tormondsen 48,550 66,323
Leslie C. Tortora 165,109 225,550
John L. Townsend III 133,632 182,550
Byron D. Trott 77,680 106,116
Robert B. Tudor III 38,744 52,926
Malcolm B. Turnbull* 40,457 55,267
John E. Urban 25,893 35,372
Lee G. Vance 158,393 216,376
George H. Walker IV 38,929 53,179
Thomas B. Walker III 179,463 245,159
Patrick J. Ward 229,699 313,784
George W. Wellde, Jr. 129,467 176,860
Kendrick R. Wilson III 100,363 137,103
Jon Winkelried 214,643 293,216
Steven J. Wisch 69,390 94,792
Richard E. Witten 129,467 176,860
Tracy R. Wolstencroft 113,487 155,030
Danny O. Yee 99,464 135,874
Gregory H. Zehner 69,795 95,344
Joseph R. Zimmel 175,345 239,533
Barry L. Zubrow 194,200 265,290
Mark A. Zurack 93,525 127,762
TRUSTS
Anahue Trust 40,216 54,938
The Karsten Moller & Barbara Kahn-Moller Trust 50,000 50,000
Rayas Trust 39,123 50,000
Vyrona Trust 150,000 150,000
PARTNERSHIPS
Daniel G. Brennan Family Limited Partnership 12,013 16,411
CORPORATIONS
HJS2 Limited 39,918 54,530
Majix Limited 64,733 88,430
Melalula Limited 145,031 198,122
</TABLE>
----------
* Includes shares held by a corporation wholly owned by the Covered Person.
54
<PAGE> 55
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 2, 2000
By: /s/ Gregory K. Palm
----------------------------
Name: Gregory K. Palm
Title: Attorney-in-Fact
55
<PAGE> 56
EXHIBIT INDEX
Exhibit Description
A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated
by reference to Exhibit A to the Schedule 13D filed May 17,
1999 (File No. 005-56295) (the "Initial Schedule 13D")).
B. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Trustees of the Estate of
Bernice Pauahi Bishop and Kamehameha Activities Association
(incorporated by reference to Exhibit B to the Initial
Schedule 13D).
C. Voting Agreement, dated as of April 30, 1999, by and among The
Goldman Sachs Group, Inc., The Sumitomo Bank, Limited and
Sumitomo Bank Capital Markets, Inc. (incorporated by reference
to Exhibit C to the Initial Schedule 13D).
D. Form of Agreement Relating to Noncompetition and Other
Covenants (incorporated by reference to Exhibit 10.20 to the
registration statement on Form S-1 (File No. 333-74449) filed
by The Goldman Sachs Group, Inc.).
E. Form of Pledge Agreement (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)).
56
<PAGE> 57
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.
R. Supplemental Registration Rights Instrument, dated as of June
19, 2000.
S. Supplemental Registration Rights Instrument, dated as of July
31, 2000.
T. Underwriting Agreement (U.S. Version), dated as of August 1,
2000.
U. Underwriting Agreement (International Version), dated as of
August 1, 2000.
V. Underwriting Agreement (Asia/Pacific Version), dated as of
August 1, 2000.
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)).
57
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