<PAGE> 1
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
iXOS Software Aktiengesellschaft
- -------------------------------------------------------------------------------
(Name of Issuer)
Bearer Ordinary Shares
- -------------------------------------------------------------------------------
(Title of Class of Securities)
46600V108
- -------------------------------------------------------------------------------
(CUSIP Number)
David J. Greenwald, Esq.
Goldman, Sachs & Co.
85 Broad Street
New York, New York 10004
(212) 902-1000
- -------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and
Communications)
October 31, 1998
- -------------------------------------------------------------------------------
(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 which is the subject of this Schedule 13D, and is
filing this schedule because of Rules 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box: [_]
<PAGE> 2
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
Goldman, Sachs & Co.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF-WC-OO
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [X]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
New York
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
616,905
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 616,905
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
616,905
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.2%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
BD-PN-IA
<PAGE> 3
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
The Goldman Sachs Group, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF-OO
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
616,905
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 616,905
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
616,905
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
16.2%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
HC-PN
<PAGE> 4
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
GS Capital Partners II, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
WC
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
374,162
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 374,162
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
374,162
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.8%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 5
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
GS Advisors, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
374,162
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 374,162
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
374,162
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.8%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 6
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
GS Capital Partners II Offshore, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
WC
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Cayman Islands
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
148,745
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 148,745
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
148,745
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.9%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 7
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Per
GS Advisors II (Cayman), L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Cayman Islands
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
148,745
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 148,745
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
148,745
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.9%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 8
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
GS Capital Partners II (Germany) Civil Law Partnership
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
WC
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Germany
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
13,801
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 13,801
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,801
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 9
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
Goldman, Sachs & Co. oHG
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Germany
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
13,801
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 13,801
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,801
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 10
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
Stone Street Fund 1997, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
WC
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
40,143
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 40,143
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
40,143
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.1%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 11
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
Bridge Street Fund 1997, L.P.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
WC
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
19,491
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 19,491
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
19,491
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.5%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
PN
<PAGE> 12
CUSIP No. 46600V108
- --------------------------------------------------------------------------------
1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above
Person
Stone Street Asset Corp.
- --------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (a) [_]
(b) [_]
- --------------------------------------------------------------------------------
3. SEC use only
- --------------------------------------------------------------------------------
4. Source of Funds
AF
- --------------------------------------------------------------------------------
5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to
Items 2(d) or 2(e) [_]
- --------------------------------------------------------------------------------
6. Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES ------------------------------------------------------------------
8. SHARED VOTING POWER
59,634
BENEFICIALLY
------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER
OWNED BY
0
EACH ------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER
REPORTING 59,634
PERSON WITH
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
59,634
- --------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.6%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
<PAGE> 13
ITEM 1. SECURITY AND ISSUER.
This statement on Schedule 13D relates to the Bearer Ordinary Shares,
no par value (the "Bearer Ordinary Shares") and the American Depositary Shares,
each representing one-fifth of one Bearer Ordinary Share (the "ADSs"), of iXOS
Software Aktiengesellschaft, a German stock corporation (the "Company"). As
used herein, the term "Shares" includes all Bearer Ordinary Shares, including
those represented by ADSs.
The principal executive offices of the Company are located at
Bretonischer Ring 12, D-85630 Grasbrunn/Munich, Germany.
ITEM 2. IDENTITY AND BACKGROUND.
This statement is being filed by GS Capital Partners II, L.P. ("GS
Capital II"), GS Capital Partners II Offshore, L.P. ("GS Offshore"), GS Capital
Partners II (Germany) Civil Law Partnership ("GS Germany"), Stone Street Fund
1997, L.P. ("1997 Stone") and Bridge Street Fund 1997, L.P. ("1997 Bridge" and
together with GS Capital II, GS Offshore, GS Germany and 1997 Stone, the
"Limited Partnerships"), Stone Street Asset Corp. ("Stone Asset"), Goldman,
Sachs & Co. ("Goldman Sachs"), GS Advisors, L.P. ("GS Advisors"), GS Advisors II
(Cayman), L.P. ("GS Advisors Cayman"), Goldman, Sachs & Co. oHG ("GS oHG") and
The Goldman Sachs Group, L.P. ("GS Group" and, together with Goldman Sachs,
GS Advisors, GS Advisors Cayman, GS oHG, Stone Asset and the Limited
Partnerships, the "Filing Persons").(1)
As of October 31, 1998, Goldman Sachs and GS Group may be deemed to
beneficially own, through the Limited Partnerships, 596,342 Shares in the form
of Bearer Ordinary Shares. In addition, as of October 31, 1998, Goldman Sachs
and GS Group may be deemed to beneficially own 16,063 Shares in the form of
80,315 ADSs as a result of ordinary course trading activities. In addition, as
of October 31, 1998, Goldman Sachs and GS Group may be deemed to beneficially
own 4,500 Shares, 2,900 of which are in the form of 14,500 ADSs, held in client
accounts with respect to which Goldman Sachs or employees of Goldman Sachs have
voting or investment discretion, or both ("Managed Accounts"). Goldman Sachs and
GS Group each disclaim beneficial ownership of (i) Shares beneficially owned by
the Limited Partnerships to the extent of partnership interests in the Limited
Partnerships held by persons other than Goldman Sachs, GS Group or their
affiliates and (ii) Shares held in Managed Accounts. Each of GS Capital II, a
Delaware limited partnership, GS Offshore, a Cayman Islands exempted limited
partnership, and GS Germany, a German civil law partnership, was formed for the
purpose of investing in equity and equity-related securities primarily acquired
or issued in leveraged acquisitions, reorganizations and other private equity
transactions. GS Advisors, a Delaware limited partnership, is the sole general
partner of GS Capital II. GS Advisors Cayman, a Cayman Islands exempted limited
partnership, is the sole general partner of GS Offshore. GS oHG is the sole
managing partner of GS Germany. 1997
- --------
(1) Neither the present filing nor anything contained herein shall be construed
as an admission that any Filing Person constitutes a "person" for any
purpose other than Section 13(d) of the Securities Exchange Act of 1934.
13
<PAGE> 14
Stone and 1997 Bridge, each a Delaware limited partnership, were formed for the
purpose of investing in equity and equity-related securities primarily acquired
or issued in leveraged acquisitions, reorganizations and other private equity
transactions and in other financial instruments. Stone Asset, a Delaware
corporation, is the sole general partner of 1997 Stone and the sole managing
general partner of 1997 Bridge. Goldman Sachs, a New York limited partnership,
is an investment banking firm and a member of the New York Stock Exchange, Inc.
and other national exchanges. Goldman Sachs also serves as the investment
manager for GS Capital II, GS Offshore and GS Germany. GS Group, one of the
general partners of Goldman Sachs, owns a 99% interest in Goldman Sachs. GS
Group is a Delaware limited partnership and holding partnership that (directly
and indirectly through subsidiaries or affiliated companies or both) is a
leading investment banking organization. The other general partner of Goldman
Sachs is The Goldman, Sachs & Co. L.L.C., a Delaware limited liability company
("GS L.L.C.") which is wholly-owned by GS Group and The Goldman Sachs
Corporation, a Delaware corporation ("GS Corp."). GS Corp. is the sole general
partner of GS Group. The principal business address of each Filing Person (other
than GS Offshore, GS Advisors Cayman, GS Germany and GS oHG), GS L.L.C. and GS
Corp. is 85 Broad Street, New York, NY 10004. The principal business address for
each of GS Offshore and GS Advisors Cayman is c/o Maples and Calder, P.O. Box
309, Grand Cayman, Cayman Islands. The principal business address for each of GS
Germany and GS oHG is MesseTurm, 60308 Frankfurt am Main, Germany.
The name, business address and present principal occupation or
employment of each director of GS Corp. and GS L.L.C. and of each member of the
executive committees of GS Corp., GS L.L.C., GS Group and Goldman Sachs are set
forth in Schedule I hereto and are incorporated herein by reference. The name,
business address, present principal occupation or employment and citizenship of
each director and executive officer of GS Advisors, Inc. and GS Advisors II,
Inc., each a Delaware corporation and the sole general partner of GS Advisors,
L.P. and GS Advisors II (Cayman), L.P., respectively, are set forth in Schedules
II-A-i and II-A-ii hereto respectively and are incorporated herein by reference.
The name, business address, present principal occupation or employment and
citizenship of each director and executive officer of Stone Street Asset Corp.,
the sole general partner of Stone Street Fund 1997 L.P. and the managing general
partner of Bridge Street Fund 1997 L.P., are set forth on Schedule II-B hereto
and are incorporated herein by reference. The name, business address, present
principal occupation or employment and citizenship of each executive officer and
director of Goldman, Sachs & Co. Finanz GmbH, which is the sole managing general
partner of GS oHG, are set forth in Schedule II-C and are incorporated herein by
reference.
During the last five years, none of the Filing Persons, or, to the
knowledge of each of the Filing Persons, any of the persons listed on Schedule
I, II-A-i, II-A-ii, II-B or II-C hereto, (i) has been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (ii) except
as set forth in Schedule III hereto, has been a party to a civil proceeding of a
judicial or administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final
14
<PAGE> 15
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.
On November 19, 1997, the Limited Partnerships acquired an aggregate of
596,342 Shares in the Company, for an aggregate consideration of DM
43,300,000.00, from the Company's two founders and members of the management
board, Mr. Eberhard Farber and Mr. Hans Strack-Zimmermann. As a result of that
transaction, GS Capital II owned 374,162 Shares, GS Offshore owned 148,745
Shares, GS Germany owned 13,801 Shares, 1997 Stone owned 40,143 Shares and 1997
Bridge owned 19,491 Shares.
As of October 31, 1998, Goldman Sachs and GS Group may be deemed to
beneficially own an aggregate of 16,063 Shares (in the form of 80,315 ADSs) as a
result of ordinary course trading activities. In addition, as of October 31,
1998, Goldman Sachs and GS Group may be deemed to beneficially own 4,500 Shares,
2,900 of which are in the form of 14,500 ADSs, held in Managed Accounts.
Schedules IV-A and IV-B reflect the transactions effected by Goldman Sachs in
the ADSs and Bearer Ordinary Shares, respectively, during the period from
September 1, 1998 through October 31, 1998, all of which were effected in the
ordinary course of business. The aggregate consideration (exclusive of
commissions) for the ADSs and Bearer Ordinary Shares purchased during the period
from September 1, 1998 through October 31, 1998 was $15,368,449.74 and DM
117,899,909.70, respectively.
The funds used by the Limited Partnerships to purchase the Shares as
described above were obtained by such entities from capital contributions by
their partners and from the available funds of such entities. The funds for
ordinary course trading purchases came from Goldman Sachs' working capital. The
funds used to purchase Shares for Managed Accounts came from client funds.
None of the persons listed on Schedule I, Schedule II-A-i, II-A-ii,
II-B or II-C hereto has contributed any funds or other consideration towards the
purchase of the securities of the Company, except insofar as they may have
partnership interests in any of the Filing Persons and have made capital
contributions to any of the Filing Persons, as the case may be.
ITEM 4. PURPOSE OF THE TRANSACTION.
The Limited Partnerships purchased the Shares for the purpose of
acquiring an equity interest in the Company. The Shares which may be deemed to
be held by Goldman Sachs (other than shares which may be deemed beneficially
owned through the Limited Partnerships) were acquired in the ordinary course of
business of Goldman Sachs.
Except as disclosed herein, none of the Filing Persons or, to the
knowledge of the Filing Persons, any of the persons listed on Schedule I,
II-A-i, II-A-ii, II-B or II-C hereto has any present plans or intentions which
would result in or relate to any of the transactions described in subparagraphs
(a) through (j) of Item 4 of Schedule 13D. In connection with the initial public
offering of Shares in October 1998 (the "IPO"), the Limited Partnerships agreed
not to sell or otherwise dispose of any Bearer Ordinary Shares or ADSs (or
securities substantially similar to,
15
<PAGE> 16
convertible into, or exchangeable for, Bearer Ordinary Shares or ADSs) during
the period beginning on the date of and continuing to and including the date six
months after the pricing of the IPO on October 6, 1998 (the "Lock-up"). The
Lock-up is further described in Item 6. The Limited Partnerships have certain
registration rights with respect to the Bearer Ordinary Shares and ADSs that
they hold, the terms of which are more fully described in Item 6.
Engagement Letter. The Company and Goldman Sachs are parties to an
engagement letter pursuant to which Goldman Sachs are retained as the Company's
financial advisor to provide investment banking and financial advisory services,
including in connection with any acquisitions, dispositions or financings.
Pursuant to the engagement, the Company has agreed to reimburse Goldman Sachs
for their out-of-pocket expenses and indemnify Goldman Sachs in connection with
their services arising under the engagement.
Each of the Filing Persons expects to evaluate on an ongoing basis the
Company's financial condition, business, operations and prospects, the market
price of the Common Stock, conditions in the securities markets generally,
general economic and industry conditions and other factors. Accordingly, each
Filing Person reserves the right to change its plans and intentions at any time,
as it deems appropriate. In particular, the Filing Persons may purchase
additional Shares or may sell Shares from time to time in public or private
transactions and/or may enter into privately negotiated derivative transactions
with institutional counterparties to hedge the market risk of some or all of its
positions in the Shares or other securities. Any such transactions may be
effected at anytime or from time to time (subject to any applicable limitations
imposed on the sale of any of their Shares by the Securities Act of 1933, as
amended (the "Securities Act"), and, in the case of sales by the Limited
Partnerships, subject to the other restrictions described in Item 6). To the
knowledge of each Filing Person, each of the persons listed on Schedule I,
II-A-i, II-A-ii, II-B or II-C hereto may make the same evaluation.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) As of October 31, 1998, GS Capital II owns beneficially, and its
general partner, GS Advisors, may be deemed to own beneficially, 374,162 Bearer
Ordinary Shares, representing in the aggregate approximately 9.8% of the
outstanding Shares (as disclosed in the prospectus relating to the IPO(2) (the
"Prospectus")).
As of October 31, 1998, GS Offshore owns beneficially, and its general
partner, GS Advisors Cayman, may be deemed to own beneficially, 148,745 Bearer
Ordinary Shares, representing in the aggregate approximately 3.9% of the
outstanding Shares (as based upon the Prospectus).
As of October 31, 1998, GS Germany owns beneficially and its managing
partner, GS oHG, may be deemed to own beneficially, 13,801 Bearer Ordinary
Shares, representing in the aggregate approximately 3.9% of the outstanding
Shares (as based upon the Prospectus).
___________
(2) On November 2, 1998, pursuant to the Underwriting Agreement described in
Item 6, the underwriters for the IPO fully exercised their over-allotment
option. The percentages disclosed herein reflect the number of Shares
outstanding after the exercise of the over-allotment option.
16
<PAGE> 17
As of October 31, 1998, 1997 Stone owns beneficially, and its general
partner, Stone Asset, may be deemed to own beneficially, 40,143 Bearer Ordinary
Shares, representing in the aggregate approximately 1.1% of the outstanding
Shares (as based upon the Prospectus).
As of October 31, 1998, 1997 Bridge owns beneficially, and its managing
general partner, Stone Asset, may be deemed to own beneficially, 19,491 Bearer
Ordinary Shares, representing in the aggregate approximately 0.5% of the
outstanding Shares (as based upon the Prospectus).
Based on information disclosed in the Prospectus, as of October 31,
1998, there were 3,713,997 Shares outstanding. Following the full exercise of
the over-allotment option on November 2, 1998, there were 3,808,997 Shares
outstanding.
As of October 31, 1998, Goldman Sachs and GS Group may be deemed to
beneficially own an aggregate of 616,905 Shares, including (i) 596,342 Bearer
Ordinary Shares beneficially owned by the Limited Partnerships as described
above, (ii) 16,063 Shares (in the form of 80,315 ADSs) beneficially owned by
Goldman Sachs through its ordinary course trading activities, and (iii) 4,500
Shares (1,600 of which are in the form of Bearer Ordinary Shares, and 2,900 of
which are in the form of 14,500 ADSs) held in Managed Accounts, representing in
the aggregate approximately 16.2% of the outstanding Shares (as based upon the
Prospectus). Goldman Sachs and GS Group disclaim beneficial ownership of (i) the
Bearer Ordinary Shares and ADSs beneficially owned by the Limited Partnerships
to the extent of partnership interests in the Limited Partnerships held by
persons other than Goldman Sachs, GS Group or their affiliates and (ii) the
Shares held in Managed Accounts.
None of the Filing Persons or, to the knowledge of the Filing Persons,
the persons listed on Schedule I, II-A-i, II-A-ii, II-B or II-C hereto
beneficially owns any Shares other than as set forth herein.
(b) Each Filing Person shares the power to vote or direct the vote and
to dispose or to direct the disposition of Shares beneficially owned by such
Filing Person as indicated in pages 2 through 12 above.
17
<PAGE> 18
(c) Except as set forth in Item 3 and Schedules IV-A and IV-B and
except, with respect to Goldman Sachs in its capacity as an underwriter in the
IPO (as further described in Item 6), no transactions in the Shares were
effected by the Filing Persons, or, to their knowledge, any of the persons
listed on Schedule I or Schedule II-A-i, II-A-ii, II-B or II-C hereto, during
the past sixty days. Schedules IV-A and IV-B set forth the transactions in the
ADSs and Bearer Ordinary Shares, respectively, which were effected by Goldman
Sachs during the period from September 1, 1998 through October 31, 1998. The
purchases set forth therein were made in the ordinary course of business of
Goldman Sachs and were effected on the NASDAQ National Market and on the Neuer
Markt trading segment of the Frankfurt Stock Exchange. The aggregate
consideration (exclusive of commissions) for the ADSs and Bearer Ordinary Shares
purchased during the period from September 1, 1998 through October 31, 1998 was
$15,368,449.74 and DM 117,899,909.70, respectively.
(d) Except for clients of Goldman Sachs who may have the right to
receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of, any Shares held in Managed Accounts, no other person is known
by any Filing Person to have the right to receive or the power to direct the
receipt of dividends from, or the proceeds from the sale of, any Shares
beneficially owned by any Filing Person.
(e) Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
Registration Rights Agreement. The Limited Partnerships and the Company
are parties to a Registration Rights Agreement dated November 19, 1997 (the
"Registration Rights Agreement"), a copy of which is filed as Exhibit (1) hereto
and is incorporated herein by reference. Pursuant to the Registration Rights
Agreement, the Company's principal shareholders and certain other shareholders
then holding in the aggregate 2,745,352 Shares (the "Registrable Securities")
have certain rights with respect to the registration of those Shares under the
Securities Act. If requested by any holder or holders of Registrable Securities
possessing not less than eight percent of the then outstanding Shares, the
Company must file a registration statement to register such securities. The
request for registration must request the registration of not less than five
percent of the then outstanding Shares, and may be deferred by the Company if
less than nine months have passed since a previous registration of Shares
pursuant to a request of a holder of Registrable Securities or less than six
months after the IPO. The Company may also defer such registration for up to 180
days if such registration would cause valuable trade secrets of the Company to
be disclosed.
All expenses incurred in connection with up to three such registrations
(other than underwriters' discounts and commissions, but including the fees and
disbursements of Company counsel) will be borne by the Company. The selling
shareholders of the Registrable Securities will bear the cost of all
underwriters' discounts and commissions and the fees and expenses of any counsel
retained by them. Any holder of Registrable Securities may terminate its
obligations under the Registration Rights Agreement on or after June 30, 2004.
18
<PAGE> 19
Underwriting Agreement. In connection with the IPO, Goldman, Sachs &
Co. oHG as Global Coordinator entered into an Underwriting Agreement, dated
September 27, 1998 (the "Underwriting Agreement"), among the Company and GS oHG,
Goldman Sachs, Deutsche Bank Aktiengesellschaft, BHF-BANK Aktiengesellschaft,
Hambrecht & Quist Euromarkets S.A., Deutsche Bank Securities, Inc. and Hambrecht
& Quist LLC, as representatives of the several underwriters listed in Schedules
I and II thereto (the "Underwriters"). A copy of the Underwriting Agreement is
filed as Exhibit (2) hereto and is incorporated herein by reference. The
Underwriting Agreement provides for purchases by the Underwriters from the
Company and Selling Shareholders of 605,000 Shares in the form of Bearer
Ordinary Shares or ADSs, and up to an additional 95,000 Shares in the form of
Bearer Ordinary Shares or ADSs at the same purchase price for the purpose of
covering over-allotments. The Underwriters executed the over-allotment option in
full on November 2, 1998. The initial public offering price in the IPO was DM
170 per share and $20.7532 per ADS. Under the Underwriting Agreement, the
Underwriters purchased the Shares net of an underwriting discount of DM 11.90
per Bearer Ordinary Share and $1.4527 per ADS. The Underwriting Agreement
contains standard terms and conditions for a public offering including customary
representations and warranties and indemnity provisions. Pursuant to the
Underwriting Agreement, the Underwriters purchased an aggregate of 556,881
Shares in the form of Bearer Ordinary Shares and 143,119 shares in the form of
ADSs (including 95,000 Shares in the form of Bearer Ordinary Shares purchased
pursuant to the exercise of the Underwriters' over-allotment option).
Lock-up. In connection with the IPO, the Company's officers and
directors and certain beneficial owners of the securities of iXOS Software AG
(including the Limited Partnerships) have agreed that, during the period
beginning on the date of and continuing to and including the date six months
after the pricing of the IPO on October 6, 1998, they will not (i) offer, sell ,
contract to sell or otherwise dispose of, or enter into any transaction
(including a derivative transaction) having an economic effect similar to that
of a sale of, any Shares or any other securities of the Company which are
substantially similar to the Shares or which are convertible into or
exchangeable for, or which represent the right to receive, Shares or securities
which are substantially similar to the Shares, except as provided under the
Lock-Up Agreement, or (ii) engage directly or indirectly in any transaction the
likely result of which would involve a transaction prohibited by clause (i) of
this sentence, except for the Shares offered in connection with the IPO, without
the prior written consent of the representative of the Underwriters or pursuant
to the Underwriting Agreement. A copy of the form of the Lock-up Agreement is
filed as Exhibit (3) and is incorporated herein by reference.
The foregoing descriptions in this Statement of the Registration Rights
Agreement, the Underwriting Agreement and the Lock-Up Agreement are qualified in
their entirety by reference to the Registration Rights Agreement, the
Underwriting
19
<PAGE> 20
Agreement and the Lock-Up Agreement, copies of which are filed as Exhibits (1),
(2) and (3) hereto, respectively, and are incorporated herein by reference.
Except as described herein, none of the Filing Persons or, to the knowledge of
each of the Filing Persons, any of the persons listed on Schedule I, II-A-i,
II-A-ii, II-B or II-C hereto is a party to any contract, arrangement,
understanding or relationship with respect to any securities of the Company.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
(1) Registration Rights Agreement by and among the Company, the Limited
Partnerships and the other parties thereto, dated as of November 19, 1997
(incorporated herein by reference to Exhibit 10.4 to the Company's Registration
Statement on Form F-1 No. 333-9392)
(2) Form of Underwriting Agreement dated September 27, 1998 by and
among the Company, Goldman, Sachs & Co. oHG and each of the Underwriters named
in Schedules I and II to the Underwriting Agreement (incorporated herein by
reference to Exhibit 1.1 to the Company's Registration Statement on Form F-1 No.
333-9392)
(3) Form of Lock-Up Agreement
(4) Joint Filing Agreement
20
<PAGE> 21
SIGNATURE
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.
November 10, 1998
GOLDMAN, SACHS & CO.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
THE GOLDMAN SACHS GROUP, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS ADVISORS, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
21
<PAGE> 22
GS ADVISORS (CAYMAN), L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II OFFSHORE L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II (GERMANY) CIVIL LAW PARTNERSHIP (with
limitation of liability)
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
22
<PAGE> 23
GOLDMAN, SACHS & CO. oHG
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
STONE STREET FUND 1997, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
BRIDGE STREET FUND 1997, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
STONE STREET ASSET CORP.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
23
<PAGE> 24
SCHEDULE I
----------
The name of each director of The Goldman Sachs Corporation and The
Goldman, Sachs & Co. L.L.C. and of each member of the executive committees of
The Goldman Sachs Corporation, The Goldman Sachs & Co. L.L.C., The Goldman
Sachs Group, L.P. and Goldman, Sachs & Co. is set forth below.
The business address of each person listed below except John L. Thornton
is 85 Broad Street, New York, NY 10004. The business address of John L.
Thornton is 133 Fleet Street, London EC4A 2BB, England. Each person is a
citizen of the United States of America, The present principal occupation or
employment of each of the listed persons is as a managing director of Goldman,
Sachs & Co. or another Goldman Sachs operating entity and as a member of the
executive committee.
Jon Z. Corzine
Henry M. Paulson, Jr.
Roy J. Zuckerberg
Robert J. Hurst
John A. Thain
John L. Thornton
Page 1
<PAGE> 25
SCHEDULE II-A-i
---------------
The name, position and present principal occupation of each director
and executive officer of GS Advisors, Inc., the sole general partner of GS
Advisors, L.P., which is the sole general partner of GS Capital Partners II,
L.P., are set forth below.
The business address for all the executive officers and directors listed
below except Henry Cornell and Barry S. Volpert is 85 Broad Street, New York,
New York 10004. The business address of Henry Cornell is 3 Garden Road, Hong
Kong. The business address of Barry S. Volpert is 133 Fleet Street, London EC4A
2BB, England.
All executive officers and directors listed below are United States
citizens.
<TABLE>
<CAPTION>
Name Position Present Principal Occupation
- ---- --------- -----------------------------
<S> <C> <C>
Richard A. Friedman Director/President Managing Director of Goldman,
Sachs & Co.
Terence M. O'Toole Director/Vice President Managing Director of Goldman,
Sachs & Co.
Elizabeth S. Cogan Treasurer Managing Director of Goldman,
Sachs & Co.
Joseph H. Gleberman Director/Vice President Managing Director of Goldman,
Sachs & Co.
Henry Cornell Vice President Managing Director of Goldman
Sachs (Asia) L.L.C.
Barry S. Volpert Director/Vice President Managing Director of Goldman
Sachs International
</TABLE>
Page 1
<PAGE> 26
<TABLE>
<S> <C> <C>
Eve M. Gerriets Vice President/ Vice President of Goldman,
Secretary Sachs & Co.
David J. Greenwald Assistant Secretary Vice President of Goldman,
Sachs & Co.
C. Douglas Fuge Assistant Treasurer Managing Director of Goldman,
Sachs & Co.
Katherine B. Enquist Vice President Vice President of Goldman,
Sachs & Co.
</TABLE>
Page 2
<PAGE> 27
SCHEDULE II-A-ii
----------------
The name, position and present principal occupation of each director
and executive officer of GS Advisors II, Inc., the sole general partner of GS
Advisors II (Cayman), L.P., which is the sole general partner of GS Capital
Partners II Offshore, L.P., are set forth below.
The business address for all the executive officers and directors listed
below except Henry Cornell and Barry S. Volpert is 85 Broad Street, New York,
New York 10004. The business address of Henry Cornell is 3 Garden Road, Hong
Kong. The business address of Barry S. Volpert is 133 Fleet Street, London EC4A
2BB, England.
All executive officers and directors listed below are United States
citizens.
<TABLE>
<CAPTION>
Name Position Present Principal Occupation
- ---- -------- ----------------------------
<S> <C> <C>
Richard A. Friedman Director/President Managing Director of
Goldman, Sachs & Co.
Terence M. O'Toole Director/Vice President Managing Director of
Goldman, Sachs & Co.
Elizabeth S. Cogan Treasurer Managing Director of
Goldman, Sachs & Co.
Joseph H. Gleberman Director/Vice President Managing Director of
Goldman, Sachs & Co.
Henry Cornell Vice President Managing Director of
Goldman Sachs (Asia) L.L.C.
Barry S. Volpert Director/Vice President Managing Director of
Goldman Sachs International
</TABLE>
Page 1
<PAGE> 28
<TABLE>
<S> <C> <C>
Eve M. Gerriets Vice President/Secretary Vice President of
Goldman, Sachs & Co.
David J. Greenwald Assistant Secretary Vice President of
Goldman, Sachs & Co.
C. Douglas Fuge Assistant Treasurer Managing Director of
Goldman, Sachs & Co.
Katherine B. Enquist Vice President Vice President of
Goldman, Sachs & Co.
</TABLE>
Page 2
<PAGE> 29
SCHEDULE II-B
-------------
The name, position and present principal occupation of each director and
executive officer of Stone Street Asset Corp., the sole general partner of Stone
Street Fund 1997, L.P. and the managing general partner of Bridge Street Fund
1997, L.P., are set forth below.
The business address for each of the executive officers and directors
listed below is 85 Broad Street, New York, New York 10004.
All executive officers and directors listed below are United States
citizens.
<TABLE>
<CAPTION>
Name Position Present Principal Occupation
- ---- -------- ----------------------------
<S> <C> <C>
Richard A. Friedman Director/Vice President Managing Director of Goldman, Sachs & Co.
Jeffrey B. Goldenberg Director/Vice President Managing Director of Goldman, Sachs & Co.
William J. McMahon Director/Vice President Vice President of Goldman, Sachs & Co.
Dinakar Singh Director/Vice President Vice President of Goldman, Sachs & Co.
Jonathan L. Kolatch Director/Vice President Managing Director of Goldman, Sachs & Co.
Sanjeev K. Mehra Director/Vice President Managing Director of Goldman, Sachs & Co.
Eric M. Mindich Director/Vice President/Treasurer Managing Director of Goldman, Sachs & Co.
</TABLE>
Page 1
<PAGE> 30
<TABLE>
<S> <C> <C>
Peter G. Sachs Director/Vice President Limited Partner of The Goldman Sachs Group, L.P.
Peter M. Sacerdote Director/Chairman/C.E.O./President Limited Partner of The Goldman Sachs Group, L.P.
David J. Greenwald Vice President Vice President of Goldman, Sachs & Co.
Esta E. Stecher Vice President Managing Director of Goldman, Sachs & Co.
Richard A. Yacenda Vice President Vice President of Goldman, Sachs & Co.
C. Douglas Fuge Assistant Treasurer Managing Director of Goldman, Sachs & Co.
Eve M. Gerriets Vice President/Secretary Vice President of Goldman, Sachs & Co.
Katherine B. Enquist Vice President Vice President of Goldman, Sachs & Co.
Raanan A. Agus Director/Vice President Vice President of Goldman, Sachs & Co.
Richard J. Stingi Vice President Vice President of Goldman, Sachs & Co.
</TABLE>
Page 2
<PAGE> 31
SCHEDULE II-C
-------------
The name, position and present occupation of each executive officer and
director of Goldman, Sachs & Co. Finanz GmbH which is the sole managing general
partner of Goldman, Sachs & Co. oHG are set forth below.
The business address for each of the executive officers and directors
listed below is MesseTurm, 60308 Frankfurt am Main, Germany.
Of the directors and executive officers listed below, Scott B. Kapnick is a
United States citizen, Robert H. Jolliffe is a citizen of Great Britain, Paul M.
Achleitner is a citizen of Austria, and Ernst E. Tschoeke and Stefan J. Jentzsch
are citizens of Germany.
<TABLE>
<CAPTION>
Name Position Present Principal Occupation
- ---- -------- ----------------------------
<S> <C> <C>
Paul M. Achleitner Managing Director Managing Director of Goldman, Sachs & Co. oHG
Ernst E. Tschoeke Managing Director Executive Director of Goldman, Sachs & Co. oHG
Stefan J. Jentzsch Managing Director Managing Director of Goldman, Sachs & Co. oHG
Robert H. Jolliffe Managing Director Executive Director of Goldman, Sachs & Co. oHG
Scott B. Kapnick Managing Director Managing Director of Goldman, Sachs & Co. oHG
</TABLE>
Page 1
<PAGE> 32
SCHEDULE III
------------
In Securities and Exchange Commission Administrative Proceeding File No.
3-8282 In the Matter of Goldman, Sachs & Co., the Firm, without admitting or
denying any the SEC's allegations, settled administrative proceedings involving
alleged books and records and supervisory violations relating to eleven trades
of U.S. Treasury securities in the secondary markets in 1985 and 1986. The SEC
alleged that the Firm had failed to maintain certain records required pursuant
to Section 17(a) of the Exchange Act and had also failed to supervise relating
to the aforementioned trades in violation of Section 15(b)(4)(E) of the Exchange
Act.
The Firm was ordered to cease and desist from committing or causing any
violation of the aforementioned sections of the Exchange Act, pay a civil money
penalty to the SEC in the amount of $250,000 and establish policies and
reasonably designed to assure compliance with Section 17(a) of the Exchange Act
and Rules 17a-3 and 17a-4 thereunder.
Page 1
<PAGE> 33
SCHEDULE IV-A
-------------
iXOS Software AG
American Depositary Shares
Cusip No. 46600V108
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
500 20.7500 6-Oct-98 9-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,000 21.7500 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
2,000 21.1250 7-Oct-98 13-Oct-98
100 21.0000 7-Oct-98 13-Oct-98
190 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
5,000 20.7500 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
18,000 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
3,000 20.7500 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.8750 7-Oct-98 13-Oct-98
4,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
20,000 21.3406 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
5,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.9500 7-Oct-98 13-Oct-98
3,000 20.7500 7-Oct-98 13-Oct-98
7,500 21.9167 7-Oct-98 13-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
500 21.1050 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
300 21.0000 7-Oct-98 13-Oct-98
1,000 21.1250 7-Oct-98 13-Oct-98
</TABLE>
Page 1
<PAGE> 34
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
300 21.0000 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,000 20.9500 7-Oct-98 13-Oct-98
4,000 20.8750 7-Oct-98 13-Oct-98
1,000 21.1875 7-Oct-98 13-Oct-98
4,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.8750 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
1,100 21.0000 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
4,000 20.7500 7-Oct-98 13-Oct-98
5,000 21.5500 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
2,500 20.7500 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,000 20.9000 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
6,500 21.0000 7-Oct-98 13-Oct-98
1,000 21.6250 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
1,000 21.1250 7-Oct-98 13-Oct-98
800 20.7500 7-Oct-98 13-Oct-98
1,500 20.9375 7-Oct-98 13-Oct-98
2,000 21.7500 7-Oct-98 13-Oct-98
3,000 21.0000 7-Oct-98 13-Oct-98
500 21.1050 7-Oct-98 13-Oct-98
1,100 21.0000 7-Oct-98 13-Oct-98
2,000 21.1250 7-Oct-98 13-Oct-98
5,000 21.3750 7-Oct-98 13-Oct-98
3,000 21.0000 7-Oct-98 13-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
900 21.0000 7-Oct-98 13-Oct-98
4,000 20.7500 7-Oct-98 13-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
200 21.0000 7-Oct-98 13-Oct-98
1,000 21.1875 7-Oct-98 13-Oct-98
8,700 21.0000 7-Oct-98 13-Oct-98
3,000 20.8950 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
4,000 20.7500 7-Oct-98 13-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
1,000 21.6250 7-Oct-98 13-Oct-98
15,000 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
3,000 21.0000 7-Oct-98 13-Oct-98
5,000 20.7500 7-Oct-98 13-Oct-98
</TABLE>
Page 2
<PAGE> 35
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
9,500 21.1250 7-Oct-98 13-Oct-98
3,000 20.8750 7-Oct-98 13-Oct-98
2,500 20.7500 7-Oct-98 13-Oct-98
3,000 21.0000 7-Oct-98 13-Oct-98
1,300 20.7500 7-Oct-98 13-Oct-98
230 21.0000 7-Oct-98 13-Oct-98
5,000 21.5625 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
5,000 20.8125 7-Oct-98 13-Oct-98
1,000 20.6875 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
1,500 20.9375 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
1,000 21.1875 7-Oct-98 13-Oct-98
18,500 20.9000 7-Oct-98 13-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
7,000 21.0000 7-Oct-98 13-Oct-98
500 21.4375 7-Oct-98 13-Oct-98
400 21.0000 7-Oct-98 13-Oct-98
1,000 20.8750 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
5,000 20.9375 7-Oct-98 13-Oct-98
2,000 21.5625 7-Oct-98 13-Oct-98
100 21.0000 7-Oct-98 13-Oct-98
10,000 21.0000 7-Oct-98 13-Oct-98
4,000 20.8750 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
3,000 20.8950 7-Oct-98 13-Oct-98
10,000 20.9375 7-Oct-98 13-Oct-98
900 21.0000 7-Oct-98 13-Oct-98
10,000 21.0000 7-Oct-98 13-Oct-98
3,000 20.6875 7-Oct-98 13-Oct-98
500 20.7500 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
1,750 20.8750 7-Oct-98 13-Oct-98
1,200 21.0000 7-Oct-98 13-Oct-98
2,500 20.8750 7-Oct-98 13-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
3,500 20.8750 7-Oct-98 13-Oct-98
4,000 22.0000 7-Oct-98 13-Oct-98
10,200 21.0000 7-Oct-98 13-Oct-98
2,000 21.3950 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
20,000 21.0000 7-Oct-98 13-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
2,710 20.7500 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
4,000 20.8406 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
</TABLE>
Page 3
<PAGE> 36
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
500 21.0000 7-Oct-98 13-Oct-98
500 21.0625 7-Oct-98 13-Oct-98
230 21.0000 7-Oct-98 13-Oct-98
1,000 20.8750 7-Oct-98 13-Oct-98
4,000 20.6875 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
1,000 21.5625 7-Oct-98 13-Oct-98
700 21.6250 7-Oct-98 13-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
1,500 21.1250 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
400 21.0000 7-Oct-98 13-Oct-98
500 21.1050 7-Oct-98 13-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
3,000 20.7500 7-Oct-98 13-Oct-98
5,000 21.5000 7-Oct-98 13-Oct-98
3,000 20.9375 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
7,500 20.7500 7-Oct-98 13-Oct-98
500 21.1050 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
800 21.0000 7-Oct-98 13-Oct-98
500 20.9375 7-Oct-98 13-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
150 20.7500 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
2,000 21.3950 7-Oct-98 13-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
500 20.9375 7-Oct-98 13-Oct-98
1,100 21.0000 7-Oct-98 13-Oct-98
1,000 20.9000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
800 20.7500 7-Oct-98 13-Oct-98
9,000 20.9375 7-Oct-98 13-Oct-98
500 20.7500 7-Oct-98 13-Oct-98
1,000 22.0000 7-Oct-98 13-Oct-98
1,000 20.8406 7-Oct-98 13-Oct-98
10,000 20.8750 7-Oct-98 13-Oct-98
3,000 20.8950 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
2,000 20.9500 7-Oct-98 13-Oct-98
1,800 20.8750 7-Oct-98 13-Oct-98
5,000 20.7500 7-Oct-98 13-Oct-98
</TABLE>
Page 4
<PAGE> 37
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
2,000 21.3950 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
3,000 20.7500 7-Oct-98 13-Oct-98
1,000 20.9375 7-Oct-98 13-Oct-98
2,500 20.9375 7-Oct-98 13-Oct-98
3,000 20.6875 7-Oct-98 13-Oct-98
4,000 20.8750 7-Oct-98 13-Oct-98
200 21.0000 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,000 20.6875 7-Oct-98 13-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
5,000 20.8750 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
3,000 21.3300 7-Oct-98 13-Oct-98
5,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.7500 7-Oct-98 13-Oct-98
1,500 20.4300 8-Oct-98 14-Oct-98
3,000 19.9375 8-Oct-98 14-Oct-98
1,000 20.0500 8-Oct-98 14-Oct-98
2,500 20.1250 8-Oct-98 14-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
1,000 19.9375 8-Oct-98 14-Oct-98
5,000 20.0000 8-Oct-98 14-Oct-98
1,500 20.0000 8-Oct-98 14-Oct-98
500 20.0000 8-Oct-98 14-Oct-98
2,500 20.2500 8-Oct-98 14-Oct-98
2,000 19.9375 8-Oct-98 14-Oct-98
3,500 20.5000 8-Oct-98 14-Oct-98
1,200 20.0000 8-Oct-98 14-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
200 20.0000 8-Oct-98 14-Oct-98
800 20.7500 8-Oct-98 14-Oct-98
100 20.7500 8-Oct-98 14-Oct-98
500 20.1500 8-Oct-98 14-Oct-98
1,900 20.7500 8-Oct-98 14-Oct-98
3,000 19.9375 8-Oct-98 14-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
1,500 20.1250 8-Oct-98 14-Oct-98
400 20.7500 8-Oct-98 14-Oct-98
200 20.3125 8-Oct-98 14-Oct-98
2,500 20.2500 8-Oct-98 14-Oct-98
5,200 20.7500 8-Oct-98 14-Oct-98
100 20.7500 8-Oct-98 14-Oct-98
2,700 20.4375 8-Oct-98 14-Oct-98
10,000 20.0000 8-Oct-98 14-Oct-98
1,000 20.0000 8-Oct-98 14-Oct-98
500 20.2500 8-Oct-98 14-Oct-98
2,000 20.5000 8-Oct-98 14-Oct-98
100 20.7500 8-Oct-98 14-Oct-98
</TABLE>
Page 5
<PAGE> 38
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
200 20.3125 8-Oct-98 14-Oct-98
500 19.8000 8-Oct-98 14-Oct-98
2,000 20.0000 8-Oct-98 14-Oct-98
5,000 20.1250 8-Oct-98 14-Oct-98
1,000 20.4000 8-Oct-98 14-Oct-98
2,500 20.3750 8-Oct-98 14-Oct-98
3,000 20.2500 8-Oct-98 14-Oct-98
3,000 19.9375 8-Oct-98 14-Oct-98
14,200 20.0194 8-Oct-98 14-Oct-98
1,100 20.7500 8-Oct-98 14-Oct-98
300 20.7500 8-Oct-98 14-Oct-98
500 20.0000 9-Oct-98 15-Oct-98
500 20.0000 9-Oct-98 15-Oct-98
5,000 20.6250 9-Oct-98 15-Oct-98
1,000 20.5250 9-Oct-98 15-Oct-98
520 20.6250 9-Oct-98 15-Oct-98
5,000 20.5000 9-Oct-98 15-Oct-98
28,500 20.5000 9-Oct-98 15-Oct-98
500 20.5000 12-Oct-98 15-Oct-98
1,600 20.5000 12-Oct-98 15-Oct-98
600 20.5000 12-Oct-98 15-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
1,000 20.3000 13-Oct-98 16-Oct-98
620 20.5000 13-Oct-98 16-Oct-98
3,000 20.5000 13-Oct-98 16-Oct-98
1,000 20.5000 13-Oct-98 16-Oct-98
500 20.5000 13-Oct-98 16-Oct-98
5,600 20.5000 13-Oct-98 16-Oct-98
2,200 20.6250 13-Oct-98 16-Oct-98
500 20.3000 13-Oct-98 16-Oct-98
6,000 20.5000 13-Oct-98 16-Oct-98
5,000 20.5000 13-Oct-98 16-Oct-98
1,000 20.5250 13-Oct-98 16-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
2,000 20.5550 13-Oct-98 16-Oct-98
6,800 20.5000 13-Oct-98 16-Oct-98
1,000 20.5450 13-Oct-98 16-Oct-98
1,000 20.5250 13-Oct-98 16-Oct-98
600 20.3000 13-Oct-98 16-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
500 20.3000 13-Oct-98 16-Oct-98
1,000 20.5000 13-Oct-98 16-Oct-98
500 20.4250 13-Oct-98 16-Oct-98
1,000 20.3000 13-Oct-98 16-Oct-98
21,515 20.6640 13-Oct-98 16-Oct-98
2,000 20.5650 13-Oct-98 16-Oct-98
500 20.6250 14-Oct-98 19-Oct-98
1,000 21.1250 15-Oct-98 20-Oct-98
1,000 21.0250 15-Oct-98 20-Oct-98
</TABLE>
Page 6
<PAGE> 39
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
1,000 21.0250 15-Oct-98 20-Oct-98
500 20.8000 15-Oct-98 20-Oct-98
1,500 21.0250 15-Oct-98 20-Oct-98
500 20.8000 15-Oct-98 20-Oct-98
4,400 20.5000 15-Oct-98 20-Oct-98
500 20.8000 15-Oct-98 20-Oct-98
500 20.8000 15-Oct-98 20-Oct-98
2,500 21.0000 15-Oct-98 20-Oct-98
500 20.8000 15-Oct-98 20-Oct-98
1,500 21.1250 16-Oct-98 21-Oct-98
100 20.9250 16-Oct-98 21-Oct-98
500 21.1750 16-Oct-98 21-Oct-98
1,500 21.2500 16-Oct-98 21-Oct-98
200 20.5000 16-Oct-98 21-Oct-98
100 20.9250 16-Oct-98 21-Oct-98
400 21.0500 16-Oct-98 21-Oct-98
200 21.1250 16-Oct-98 21-Oct-98
400 21.0500 16-Oct-98 21-Oct-98
100 20.9250 16-Oct-98 21-Oct-98
400 21.0500 16-Oct-98 21-Oct-98
1,000 20.6250 20-Oct-98 23-Oct-98
500 20.4250 20-Oct-98 23-Oct-98
5,000 20.6250 20-Oct-98 23-Oct-98
300 20.6250 20-Oct-98 23-Oct-98
2,500 20.6250 20-Oct-98 23-Oct-98
700 20.4750 21-Oct-98 26-Oct-98
40,000 20.5000 21-Oct-98 26-Oct-98
500 20.7275 22-Oct-98 23-Oct-98
12,100 20.5000 22-Oct-98 27-Oct-98
500 20.7275 22-Oct-98 23-Oct-98
700 20.4750 22-Oct-98 27-Oct-98
700 20.4750 22-Oct-98 27-Oct-98
200 20.9375 22-Oct-98 27-Oct-98
800 20.9375 22-Oct-98 27-Oct-98
400 20.6250 22-Oct-98 27-Oct-98
500 20.7500 26-Oct-98 29-Oct-98
1,500 20.5750 26-Oct-98 29-Oct-98
500 20.7500 26-Oct-98 29-Oct-98
600 20.7500 26-Oct-98 29-Oct-98
16,400 20.7729 27-Oct-98 30-Oct-98
200 20.7500 27-Oct-98 30-Oct-98
2,800 20.7750 27-Oct-98 30-Oct-98
1,000 21.1250 28-Oct-98 2-Nov-98
700 20.7250 28-Oct-98 2-Nov-98
5,000 21.1250 28-Oct-98 2-Nov-98
200 21.5000 29-Oct-98 3-Nov-98
500 20.8000 29-Oct-98 29-Oct-98
500 21.1250 29-Oct-98 3-Nov-98
700 21.3625 30-Oct-98 4-Nov-98
200 21.5000 30-Oct-98 4-Nov-98
</TABLE>
Page 7
<PAGE> 40
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
200 21.5000 30-Oct-98 4-Nov-98
400 21.3750 30-Oct-98 4-Nov-98
200 20.8750 30-Oct-98 4-Nov-98
400 21.5000 30-Oct-98 4-Nov-98
200 22.0000 30-Oct-98 4-Nov-98
1,100 22.0000 30-Oct-98 4-Nov-98
300 21.2850 30-Oct-98 4-Nov-98
1,000 21.7500 30-Oct-98 4-Nov-98
1,000 22.0000 30-Oct-98 4-Nov-98
3,900 21.6250 30-Oct-98 4-Nov-98
1,000 21.7500 30-Oct-98 4-Nov-98
500 21.4250 30-Oct-98 4-Nov-98
1,000 21.6250 30-Oct-98 4-Nov-98
400 21.3750 30-Oct-98 4-Nov-98
2,000 21.1750 30-Oct-98 4-Nov-98
700 21.3625 30-Oct-98 4-Nov-98
510 21.7500 30-Oct-98 4-Nov-98
500 21.3750 30-Oct-98 4-Nov-98
200 21.6250 30-Oct-98 4-Nov-98
200 21.6250 30-Oct-98 4-Nov-98
300 21.2850 30-Oct-98 4-Nov-98
200 21.3750 30-Oct-98 4-Nov-98
1,400 22.0000 30-Oct-98 4-Nov-98
200 22.0000 30-Oct-98 4-Nov-98
300 21.2850 30-Oct-98 4-Nov-98
1,000 21.3750 30-Oct-98 4-Nov-98
400 21.1250 30-Oct-98 4-Nov-98
7,500 20.7500 6-Oct-98 9-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 20.5000 12-Oct-98 15-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.9000 7-Oct-98 13-Oct-98
1,000 20.9000 7-Oct-98 13-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 21.0250 15-Oct-98 20-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 21.0250 15-Oct-98 20-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 21.0250 15-Oct-98 20-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.5450 13-Oct-98 16-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 20.5450 13-Oct-98 16-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
</TABLE>
Page 8
<PAGE> 41
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
300 20.7500 6-Oct-98 9-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 20.3750 23-Oct-98 28-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 20.3750 23-Oct-98 28-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 20.3750 23-Oct-98 28-Oct-98
700 20.7500 6-Oct-98 9-Oct-98
700 20.3750 23-Oct-98 28-Oct-98
1,600 20.7500 6-Oct-98 9-Oct-98
1,600 20.3750 23-Oct-98 28-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 20.3750 23-Oct-98 28-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 20.3750 23-Oct-98 28-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 20.3750 23-Oct-98 28-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 20.3750 23-Oct-98 28-Oct-98
5,000 20.7500 6-Oct-98 9-Oct-98
3,000 20.8950 7-Oct-98 13-Oct-98
2,000 21.3950 7-Oct-98 13-Oct-98
600 20.7500 6-Oct-98 9-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
2,000 20.7500 6-Oct-98 9-Oct-98
700 20.7500 6-Oct-98 9-Oct-98
700 20.4750 22-Oct-98 27-Oct-98
700 20.7500 6-Oct-98 9-Oct-98
700 20.4750 22-Oct-98 27-Oct-98
700 20.7500 6-Oct-98 9-Oct-98
700 20.4750 21-Oct-98 26-Oct-98
2,000 20.7500 6-Oct-98 9-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
1,500 20.7500 6-Oct-98 9-Oct-98
1,500 21.0000 7-Oct-98 13-Oct-98
2,000 20.7500 6-Oct-98 9-Oct-98
2,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
2,500 20.7500 6-Oct-98 9-Oct-98
2,500 21.0000 7-Oct-98 13-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
</TABLE>
Page 9
<PAGE> 42
<TABLE>
<CAPTION>
Purchases Sales Price Trade Date Settlement Date
- --------------------------------------------------------------------------
<S> <C> <C> <C> <C>
500 20.7500 6-Oct-98 9-Oct-98
500 21.0000 7-Oct-98 13-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.1500 8-Oct-98 14-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 20.1500 8-Oct-98 14-Oct-98
100 20.7500 6-Oct-98 9-Oct-98
100 21.0000 7-Oct-98 13-Oct-98
100 20.7500 6-Oct-98 9-Oct-98
100 21.0000 7-Oct-98 13-Oct-98
200 20.7500 6-Oct-98 9-Oct-98
200 21.0000 7-Oct-98 13-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 21.0000 7-Oct-98 13-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 21.0000 7-Oct-98 13-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
300 21.0000 7-Oct-98 13-Oct-98
400 20.7500 6-Oct-98 9-Oct-98
400 21.0000 7-Oct-98 13-Oct-98
100 20.7500 6-Oct-98 9-Oct-98
100 21.0000 7-Oct-98 13-Oct-98
4,000 20.7500 6-Oct-98 9-Oct-98
4,000 20.8406 7-Oct-98 13-Oct-98
300 20.7500 6-Oct-98 9-Oct-98
2,500 20.7500 6-Oct-98 9-Oct-98
2,500 20.7500 7-Oct-98 13-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 20.0500 8-Oct-98 14-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 20.0000 9-Oct-98 15-Oct-98
1,000 20.7500 6-Oct-98 9-Oct-98
1,000 21.0000 7-Oct-98 13-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
500 20.0000 9-Oct-98 15-Oct-98
500 20.7500 6-Oct-98 9-Oct-98
200 20.7500 6-Oct-98 9-Oct-98
200 20.7500 6-Oct-98 9-Oct-98
200 20.7500 6-Oct-98 9-Oct-98
2,000 20.7500 6-Oct-98 9-Oct-98
2,000 20.9000 7-Oct-98 13-Oct-98
2,000 20.9000 7-Oct-98 13-Oct-98
</TABLE>
Page 10
<PAGE> 43
SCHEDULE IV-B
-------------
iXOS SOFTWARE AG
BEARER ORDINARY SHARES
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
1,000 169.7790 7-OCT-98 12-OCT-98
3,700 170.5000 7-OCT-98 9-OCT-98
2,200 171.0000 7-OCT-98 9-OCT-98
15,840 170.0000 7-OCT-98 9-OCT-98
2,000 170.5100 7-OCT-98 12-OCT-98
5,000 170.6460 7-OCT-98 12-OCT-98
8,000 171.0000 7-OCT-98 9-OCT-98
440 177.0000 7-OCT-98 9-OCT-98
2,000 171.2000 7-OCT-98 9-OCT-98
2,000 170.0000 7-OCT-98 9-OCT-98
7,000 172.8900 7-OCT-98 9-OCT-98
200 172.0000 7-OCT-98 9-OCT-98
1,300 177.0000 7-OCT-98 9-OCT-98
3,300 174.0000 7-OCT-98 9-OCT-98
7,000 175.0000 7-OCT-98 9-OCT-98
10,800 173.0000 7-OCT-98 9-OCT-98
200 177.5000 7-OCT-98 9-OCT-98
1,000 173.4000 7-OCT-98 9-OCT-98
5,500 177.0000 7-OCT-98 9-OCT-98
300 172.2000 7-OCT-98 9-OCT-98
1,000 177.0000 7-OCT-98 9-OCT-98
500 168.0000 8-OCT-98 12-OCT-98
500 169.0000 8-OCT-98 12-OCT-98
200 167.5800 8-OCT-98 13-OCT-98
360 168.0000 8-OCT-98 12-OCT-98
10,000 168.9200 8-OCT-98 12-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
3,000 168.0000 8-OCT-98 12-OCT-98
5,000 161.0000 8-OCT-98 12-OCT-98
1,000 164.5875 8-OCT-98 13-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
300 168.0790 8-OCT-98 13-OCT-98
2,100 162.0000 8-OCT-98 12-OCT-98
1,000 171.0710 8-OCT-98 13-OCT-98
2,300 161.4025 8-OCT-98 12-OCT-98
38,952 165.0000 8-OCT-98 12-OCT-98
</TABLE>
Page 1
<PAGE> 44
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
9,300 167.4960 8-OCT-98 13-OCT-98
500 169.6600 8-OCT-98 13-OCT-98
500 172.0000 8-OCT-98 12-OCT-98
1,000 165.0000 8-OCT-98 12-OCT-98
2,000 170.0085 8-OCT-98 13-OCT-98
5,000 170.0000 8-OCT-98 12-OCT-98
400 161.0000 8-OCT-98 12-OCT-98
2,000 170.0000 8-OCT-98 12-OCT-98
2,700 169.0000 8-OCT-98 12-OCT-98
1,900 167.8863 8-OCT-98 13-OCT-98
400 169.0000 8-OCT-98 12-OCT-98
400 164.0000 9-OCT-98 13-OCT-98
500 162.0000 9-OCT-98 13-OCT-98
200 162.5000 9-OCT-98 13-OCT-98
800 161.3800 9-OCT-98 14-OCT-98
1,500 162.0125 9-OCT-98 14-OCT-98
6,000 167.0000 9-OCT-98 13-OCT-98
1,000 162.0000 9-OCT-98 13-OCT-98
500 165.0000 9-OCT-98 13-OCT-98
400 164.0000 9-OCT-98 13-OCT-98
800 170.0000 12-OCT-98 14-OCT-98
50 170.0000 12-OCT-98 14-OCT-98
500 170.5000 12-OCT-98 14-OCT-98
1,000 171.0000 12-OCT-98 14-OCT-98
800 170.9000 12-OCT-98 14-OCT-98
5,000 170.4300 12-OCT-98 14-OCT-98
285 171.0000 12-OCT-98 14-OCT-98
100 170.0000 12-OCT-98 14-OCT-98
3,220 171.0000 12-OCT-98 14-OCT-98
100 170.0000 12-OCT-98 14-OCT-98
2,000 170.0000 12-OCT-98 14-OCT-98
541 170.0000 13-OCT-98 15-OCT-98
200 170.0000 13-OCT-98 15-OCT-98
500 170.0000 13-OCT-98 15-OCT-98
5,000 170.0000 13-OCT-98 15-OCT-98
200 169.4220 13-OCT-98 16-OCT-98
300 170.0000 14-OCT-98 16-OCT-98
200 170.0000 14-OCT-98 16-OCT-98
200 170.0000 14-OCT-98 16-OCT-98
800 170.0000 14-OCT-98 16-OCT-98
500 170.0000 15-OCT-98 19-OCT-98
2,581 170.0000 15-OCT-98 19-OCT-98
400 168.0000 16-OCT-98 20-OCT-98
500 170.0000 16-OCT-98 20-OCT-98
180 168.0000 16-OCT-98 20-OCT-98
500 169.0000 16-OCT-98 20-OCT-98
500 170.0000 16-OCT-98 20-OCT-98
900 171.0000 16-OCT-98 20-OCT-98
500 168.0000 16-OCT-98 20-OCT-98
500 166.7000 16-OCT-98 20-OCT-98
</TABLE>
Page 2
<PAGE> 45
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
500 167.0500 16-OCT-98 20-OCT-98
500 169.9500 16-OCT-98 20-OCT-98
300 171.0000 16-OCT-98 20-OCT-98
2,000 169.9500 16-OCT-98 20-OCT-98
10,000 171.4300 16-OCT-98 20-OCT-98
500 170.0000 16-OCT-98 20-OCT-98
800 170.0000 16-OCT-98 20-OCT-98
2,000 172.0000 16-OCT-98 20-OCT-98
500 168.0000 16-OCT-98 20-OCT-98
1,100 171.0000 16-OCT-98 20-OCT-98
2,000 166.5000 16-OCT-98 20-OCT-98
3,500 171.0000 16-OCT-98 20-OCT-98
5,000 166.0000 16-OCT-98 20-OCT-98
500 166.0000 16-OCT-98 20-OCT-98
320 170.0000 16-OCT-98 20-OCT-98
1,000 171.0000 16-OCT-98 20-OCT-98
4,000 171.0000 19-OCT-98 21-OCT-98
100 170.0000 19-OCT-98 21-OCT-98
300 170.0000 19-OCT-98 21-OCT-98
800 171.0000 19-OCT-98 21-OCT-98
670 171.5000 19-OCT-98 21-OCT-98
30 170.0000 19-OCT-98 21-OCT-98
3,500 169.1500 19-OCT-98 22-OCT-98
200 170.0000 19-OCT-98 21-OCT-98
280 172.5000 19-OCT-98 21-OCT-98
100 171.0000 19-OCT-98 21-OCT-98
100 171.5000 19-OCT-98 21-OCT-98
200 171.5000 19-OCT-98 21-OCT-98
200 172.0000 19-OCT-98 21-OCT-98
10 171.0000 20-OCT-98 22-OCT-98
500 169.5000 20-OCT-98 22-OCT-98
300 170.0000 20-OCT-98 22-OCT-98
190 169.0000 20-OCT-98 22-OCT-98
2,000 169.4200 20-OCT-98 22-OCT-98
300 171.0000 20-OCT-98 22-OCT-98
100 169.0000 20-OCT-98 22-OCT-98
500 171.0000 20-OCT-98 22-OCT-98
200 169.0000 20-OCT-98 22-OCT-98
10 171.5000 21-OCT-98 23-OCT-98
300 172.0000 21-OCT-98 23-OCT-98
300 170.5000 21-OCT-98 23-OCT-98
100 171.0000 21-OCT-98 23-OCT-98
100 173.5000 21-OCT-98 23-OCT-98
180 170.5000 21-OCT-98 23-OCT-98
800 171.5000 21-OCT-98 23-OCT-98
640 171.5000 21-OCT-98 23-OCT-98
860 171.5000 21-OCT-98 23-OCT-98
400 171.5000 21-OCT-98 23-OCT-98
140 172.0000 21-OCT-98 23-OCT-98
100 171.5000 21-OCT-98 23-OCT-98
</TABLE>
Page 3
<PAGE> 46
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
100 171.5000 21-OCT-98 23-OCT-98
100 171.0000 21-OCT-98 23-OCT-98
300 172.5000 21-OCT-98 23-OCT-98
500 174.4000 21-OCT-98 23-OCT-98
860 171.5000 21-OCT-98 23-OCT-98
1,100 171.0000 21-OCT-98 23-OCT-98
260 173.5000 21-OCT-98 23-OCT-98
4,000 173.5792 21-OCT-98 26-OCT-98
50 171.5000 21-OCT-98 23-OCT-98
500 172.0000 21-OCT-98 23-OCT-98
300 175.0000 21-OCT-98 23-OCT-98
100 171.5000 21-OCT-98 23-OCT-98
200 171.0000 21-OCT-98 23-OCT-98
500 172.0000 21-OCT-98 23-OCT-98
40 171.5000 21-OCT-98 23-OCT-98
200 172.0000 21-OCT-98 23-OCT-98
200 171.5000 22-OCT-98 26-OCT-98
100 170.0000 22-OCT-98 26-OCT-98
500 167.0000 22-OCT-98 26-OCT-98
100 169.0000 22-OCT-98 26-OCT-98
300 167.5000 22-OCT-98 26-OCT-98
150 171.5000 22-OCT-98 26-OCT-98
50 167.5000 22-OCT-98 26-OCT-98
500 172.0000 22-OCT-98 26-OCT-98
500 168.0000 22-OCT-98 26-OCT-98
200 169.0000 22-OCT-98 26-OCT-98
10,000 169.3000 22-OCT-98 26-OCT-98
35 171.5000 22-OCT-98 26-OCT-98
200 169.5000 22-OCT-98 26-OCT-98
10,000 168.2905 22-OCT-98 27-OCT-98
15 168.0000 22-OCT-98 26-OCT-98
300 171.0000 22-OCT-98 26-OCT-98
3,000 169.5000 22-OCT-98 26-OCT-98
400 169.0000 22-OCT-98 26-OCT-98
300 172.0000 22-OCT-98 26-OCT-98
300 172.0000 22-OCT-98 26-OCT-98
300 170.0000 22-OCT-98 26-OCT-98
3,000 169.5000 22-OCT-98 26-OCT-98
300 170.0000 22-OCT-98 26-OCT-98
600 170.0000 22-OCT-98 26-OCT-98
600 168.0000 23-OCT-98 27-OCT-98
13,000 168.5000 23-OCT-98 27-OCT-98
1,000 167.0000 23-OCT-98 27-OCT-98
330 169.0000 23-OCT-98 27-OCT-98
300 166.0000 23-OCT-98 27-OCT-98
50 169.0000 23-OCT-98 27-OCT-98
1,000 166.0000 23-OCT-98 27-OCT-98
150 169.5000 23-OCT-98 27-OCT-98
1,500 166.0000 23-OCT-98 27-OCT-98
200 170.0000 23-OCT-98 27-OCT-98
</TABLE>
Page 4
<PAGE> 47
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
1,000 166.0000 23-OCT-98 27-OCT-98
100 168.0000 23-OCT-98 27-OCT-98
500 166.5000 23-OCT-98 27-OCT-98
100 166.0000 23-OCT-98 27-OCT-98
200 170.0000 23-OCT-98 27-OCT-98
600 171.6560 26-OCT-98 29-OCT-98
4,000 170.0000 26-OCT-98 28-OCT-98
81 172.0000 26-OCT-98 28-OCT-98
500 171.0000 26-OCT-98 28-OCT-98
3,500 171.3500 26-OCT-98 29-OCT-98
771 172.0000 26-OCT-98 28-OCT-98
50 172.0000 26-OCT-98 28-OCT-98
100 172.0000 26-OCT-98 28-OCT-98
850 171.0000 26-OCT-98 28-OCT-98
50 171.0000 26-OCT-98 28-OCT-98
1,000 171.0000 26-OCT-98 28-OCT-98
500 171.8000 26-OCT-98 28-OCT-98
4,000 171.4300 26-OCT-98 28-OCT-98
1,500 173.0000 26-OCT-98 28-OCT-98
100 171.0000 26-OCT-98 28-OCT-98
79 172.0000 26-OCT-98 28-OCT-98
50 171.0000 26-OCT-98 28-OCT-98
980 173.0000 26-OCT-98 28-OCT-98
50 173.5000 27-OCT-98 29-OCT-98
469 175.0000 27-OCT-98 29-OCT-98
200 172.2600 27-OCT-98 30-OCT-98
70 172.8000 27-OCT-98 29-OCT-98
100 173.0000 27-OCT-98 29-OCT-98
2,000 173.0000 27-OCT-98 29-OCT-98
400 174.0000 27-OCT-98 29-OCT-98
80 173.0000 27-OCT-98 29-OCT-98
600 173.0000 28-OCT-98 30-OCT-98
1,400 173.5000 28-OCT-98 30-OCT-98
500 175.0000 28-OCT-98 30-OCT-98
1,900 173.5000 28-OCT-98 30-OCT-98
50 175.0000 28-OCT-98 30-OCT-98
100 175.0000 28-OCT-98 30-OCT-98
5,440 172.6977 28-OCT-98 2-NOV-98
60 173.0000 28-OCT-98 30-OCT-98
900 173.0000 28-OCT-98 30-OCT-98
500 175.0000 29-OCT-98 2-NOV-98
200 175.0000 29-OCT-98 2-NOV-98
600 173.0000 29-OCT-98 2-NOV-98
500 175.0000 29-OCT-98 2-NOV-98
500 174.0000 29-OCT-98 2-NOV-98
100 174.0000 29-OCT-98 2-NOV-98
1,100 174.0000 29-OCT-98 2-NOV-98
1,000 176.0000 30-OCT-98 3-NOV-98
210 176.5000 30-OCT-98 3-NOV-98
100 168.7950 7-OCT-98 12-OCT-98
</TABLE>
Page 5
<PAGE> 48
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
3,000 180.6840 7-OCT-98 12-OCT-98
2,000 183.2640 7-OCT-98 12-OCT-98
1,300 179.5500 7-OCT-98 12-OCT-98
7,000 175.4200 7-OCT-98 9-OCT-98
200 179.9070 7-OCT-98 12-OCT-98
4,300 179.5500 7-OCT-98 12-OCT-98
500 169.5070 7-OCT-98 12-OCT-98
300 171.8963 7-OCT-98 12-OCT-98
7,000 175.4200 7-OCT-98 9-OCT-98
500 169.7790 7-OCT-98 12-OCT-98
2,200 174.3400 7-OCT-98 12-OCT-98
500 169.7790 7-OCT-98 12-OCT-98
1,000 169.7790 7-OCT-98 12-OCT-98
5,000 170.6460 7-OCT-98 12-OCT-98
150 171.8963 7-OCT-98 12-OCT-98
500 179.4600 7-OCT-98 12-OCT-98
2,200 174.3400 7-OCT-98 12-OCT-98
4,000 172.6765 7-OCT-98 12-OCT-98
5,000 176.4200 7-OCT-98 9-OCT-98
500 179.4600 7-OCT-98 12-OCT-98
5,000 176.4200 7-OCT-98 9-OCT-98
30,000 177.9400 7-OCT-98 9-OCT-98
100 168.7950 7-OCT-98 12-OCT-98
100 179.9070 7-OCT-98 12-OCT-98
100 179.5500 7-OCT-98 12-OCT-98
4,000 172.6765 7-OCT-98 12-OCT-98
2,500 170.3094 7-OCT-98 12-OCT-98
50 171.8963 7-OCT-98 12-OCT-98
30,000 177.9400 7-OCT-98 9-OCT-98
1,100 179.5500 7-OCT-98 12-OCT-98
6,800 179.5500 7-OCT-98 12-OCT-98
100 179.9070 7-OCT-98 12-OCT-98
8,000 174.4103 7-OCT-98 12-OCT-98
2,000 170.5100 7-OCT-98 12-OCT-98
2,000 183.2640 7-OCT-98 12-OCT-98
500 171.8963 7-OCT-98 12-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
1,900 167.8863 8-OCT-98 13-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
1,000 171.0710 8-OCT-98 13-OCT-98
1,000 171.0710 8-OCT-98 13-OCT-98
2,000 170.0085 8-OCT-98 13-OCT-98
500 169.6600 8-OCT-98 13-OCT-98
1,000 164.5875 8-OCT-98 13-OCT-98
1,900 167.8863 8-OCT-98 13-OCT-98
500 169.6600 8-OCT-98 13-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
10,000 168.9200 8-OCT-98 12-OCT-98
300 168.0790 8-OCT-98 13-OCT-98
2,000 170.0085 8-OCT-98 13-OCT-98
</TABLE>
Page 6
<PAGE> 49
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
1,000 164.5875 8-OCT-98 13-OCT-98
300 168.0790 8-OCT-98 13-OCT-98
100 168.0790 8-OCT-98 13-OCT-98
10,000 168.9200 8-OCT-98 12-OCT-98
800 161.3800 9-OCT-98 14-OCT-98
800 161.3800 9-OCT-98 14-OCT-98
15,000 170.4300 12-OCT-98 14-OCT-98
2,000 170.0000 12-OCT-98 14-OCT-98
10,000 170.4300 12-OCT-98 14-OCT-98
5,000 170.4300 12-OCT-98 14-OCT-98
2,000 170.0000 12-OCT-98 14-OCT-98
13,186 170.0000 13-OCT-98 15-OCT-98
5,000 170.5100 13-OCT-98 16-OCT-98
5,000 170.5100 13-OCT-98 16-OCT-98
13,186 170.0000 13-OCT-98 15-OCT-98
13,186 170.0000 13-OCT-98 15-OCT-98
13,186 170.0000 13-OCT-98 15-OCT-98
10,000 171.4300 16-OCT-98 20-OCT-98
7,500 171.4300 16-OCT-98 20-OCT-98
2,500 171.4300 16-OCT-98 20-OCT-98
2,000 169.4200 20-OCT-98 22-OCT-98
2,000 169.4200 20-OCT-98 22-OCT-98
19,000 170.0000 26-OCT-98 28-OCT-98
19,000 170.0000 26-OCT-98 28-OCT-98
3,500 171.3500 26-OCT-98 29-OCT-98
4,000 171.4300 26-OCT-98 28-OCT-98
3,500 171.3500 26-OCT-98 29-OCT-98
4,000 171.4300 26-OCT-98 28-OCT-98
200 172.2600 27-OCT-98 30-OCT-98
200 172.2600 27-OCT-98 30-OCT-98
10,000 180.0000 7-OCT-98 9-OCT-98
500 179.4600 7-OCT-98 12-OCT-98
500 181.0000 7-OCT-98 9-OCT-98
500 177.0000 7-OCT-98 9-OCT-98
400 179.0000 7-OCT-98 9-OCT-98
2,000 184.0195 7-OCT-98 12-OCT-98
9,184 175.5000 7-OCT-98 9-OCT-98
5,000 179.4600 7-OCT-98 12-OCT-98
1,716 180.0000 7-OCT-98 9-OCT-98
1,000 177.0000 7-OCT-98 9-OCT-98
2,000 183.2640 7-OCT-98 12-OCT-98
2,000 180.5400 7-OCT-98 12-OCT-98
10,000 180.0000 7-OCT-98 9-OCT-98
1,284 186.0000 7-OCT-98 9-OCT-98
30,000 177.9400 7-OCT-98 9-OCT-98
2,000 175.0000 7-OCT-98 9-OCT-98
2,200 174.3400 7-OCT-98 12-OCT-98
3,000 180.6840 7-OCT-98 12-OCT-98
7,000 175.4200 7-OCT-98 9-OCT-98
15,000 182.4000 7-OCT-98 9-OCT-98
</TABLE>
Page 7
<PAGE> 50
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
6,500 181.4233 7-Oct-98 12-Oct-98
10,000 180.0000 7-Oct-98 9-Oct-98
3,000 185.0000 7-Oct-98 9-Oct-98
28,316 180.0000 7-Oct-98 9-Oct-98
5,000 176.4200 7-Oct-98 9-Oct-98
2,000 186.0000 7-Oct-98 9-Oct-98
3,000 184.4600 7-Oct-98 12-Oct-98
6,800 179.5500 7-Oct-98 12-Oct-98
5,000 175.5000 7-Oct-98 9-Oct-98
1,000 180.5400 7-Oct-98 12-Oct-98
1,000 189.0000 7-Oct-98 9-Oct-98
1,000 180.0000 7-Oct-98 9-Oct-98
5,000 177.7316 7-Oct-98 9-Oct-98
5,500 177.0000 7-Oct-98 9-Oct-98
10,000 180.0000 7-Oct-98 9-Oct-98
400 182.0000 7-Oct-98 9-Oct-98
3,800 186.0000 7-Oct-98 9-Oct-98
5,000 184.5375 7-Oct-98 12-Oct-98
300 174.3000 7-Oct-98 12-Oct-98
3,000 187.0000 7-Oct-98 9-Oct-98
1,000 184.0000 7-Oct-98 9-Oct-98
1,000 177.0000 7-Oct-98 9-Oct-98
500 181.3812 7-Oct-98 12-Oct-98
1,000 169.8521 7-Oct-98 12-Oct-98
200 179.9070 7-Oct-98 12-Oct-98
1,000 165.0000 8-Oct-98 12-Oct-98
5,000 161.0000 8-Oct-98 12-Oct-98
4,000 160.0000 8-Oct-98 12-Oct-98
2,000 170.0000 12-Oct-98 14-Oct-98
10,000 170.0000 12-Oct-98 14-Oct-98
800 170.0000 12-Oct-98 14-Oct-98
2,000 170.0000 12-Oct-98 14-Oct-98
800 170.0000 12-Oct-98 14-Oct-98
10,000 170.4300 12-Oct-98 14-Oct-98
13,186 170.0000 13-Oct-98 15-Oct-98
13,186 170.0000 13-Oct-98 15-Oct-98
5,000 170.0000 13-Oct-98 15-Oct-98
26,372 170.0000 13-Oct-98 15-Oct-98
5,000 170.5100 13-Oct-98 16-Oct-98
500 170.0000 16-Oct-98 20-Oct-98
1,000 166.0000 16-Oct-98 20-Oct-98
3,000 166.0000 16-Oct-98 20-Oct-98
5,000 166.0000 16-Oct-98 20-Oct-98
500 170.0000 16-Oct-98 20-Oct-98
500 172.0000 26-Oct-98 28-Oct-98
23,000 170.0000 26-Oct-98 28-Oct-98
19,000 170.0000 26-Oct-98 28-Oct-98
500 170.0000 26-Oct-98 28-Oct-98
4,000 170.0000 26-Oct-98 28-Oct-98
60 173.0000 28-Oct-98 30-Oct-98
</TABLE>
Page 8
<PAGE> 51
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
60 173.0000 28-Oct-98 30-Oct-98
3,700 175.2066 7-Oct-98 12-Oct-98
13,700 175.2066 7-Oct-98 12-Oct-98
5,000 177.7316 7-Oct-98 9-Oct-98
1,000 169.8521 7-Oct-98 12-Oct-98
3,000 184.4600 7-Oct-98 12-Oct-98
200 168.8950 7-Oct-98 12-Oct-98
5,000 184.5375 7-Oct-98 12-Oct-98
5,000 179.4600 7-Oct-98 12-Oct-98
1,700 175.2066 7-Oct-98 12-Oct-98
3,000 184.4600 7-Oct-98 12-Oct-98
7,000 172.8900 7-Oct-98 9-Oct-98
500 181.3812 7-Oct-98 12-Oct-98
7,000 172.8900 7-Oct-98 9-Oct-98
1,000 169.8521 7-Oct-98 12-Oct-98
2,000 180.5400 7-Oct-98 12-Oct-98
2,000 184.0195 7-Oct-98 12-Oct-98
5,000 184.5375 7-Oct-98 12-Oct-98
200 168.8950 7-Oct-98 12-Oct-98
6,500 181.4233 7-Oct-98 12-Oct-98
2,000 180.5400 7-Oct-98 12-Oct-98
1,000 180.5400 7-Oct-98 12-Oct-98
6,500 181.4233 7-Oct-98 12-Oct-98
2,000 184.0195 7-Oct-98 12-Oct-98
7,700 175.2066 7-Oct-98 12-Oct-98
300 174.3000 7-Oct-98 12-Oct-98
500 181.3812 7-Oct-98 12-Oct-98
5,000 179.4600 7-Oct-98 12-Oct-98
1,000 180.5400 7-Oct-98 12-Oct-98
600 175.2066 7-Oct-98 12-Oct-98
5,000 177.7316 7-Oct-98 9-Oct-98
300 174.3000 7-Oct-98 12-Oct-98
2,300 161.4025 8-Oct-98 12-Oct-98
9,300 167.4960 8-Oct-98 13-Oct-98
9,300 167.4960 8-Oct-98 13-Oct-98
2,300 161.4025 8-Oct-98 12-Oct-98
200 167.5800 8-Oct-98 13-Oct-98
200 167.5800 8-Oct-98 13-Oct-98
1,500 162.0125 9-Oct-98 14-Oct-98
1,500 162.0125 9-Oct-98 14-Oct-98
200 169.4220 13-Oct-98 16-Oct-98
200 169.4220 13-Oct-98 16-Oct-98
3,500 169.1500 19-Oct-98 22-Oct-98
3,500 169.1500 19-Oct-98 22-Oct-98
4,000 173.5792 21-Oct-98 26-Oct-98
4,000 173.5792 21-Oct-98 26-Oct-98
10,000 168.2905 22-Oct-98 27-Oct-98
10,000 168.2905 22-Oct-98 27-Oct-98
600 171.6560 26-Oct-98 29-Oct-98
600 171.6560 26-Oct-98 29-Oct-98
</TABLE>
Page 9
<PAGE> 52
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
5,440 172.6977 28-Oct-98 2-Nov-98
5,440 172.6977 28-Oct-98 2-Nov-98
15,840 170.0000 7-Oct-98 9-Oct-98
15,000 182.4000 7-Oct-98 9-Oct-98
13,700 175.2066 7-Oct-98 12-Oct-98
8,000 171.0000 7-Oct-98 9-Oct-98
3,800 186.0000 7-Oct-98 9-Oct-98
1,000 170.5000 7-Oct-98 9-Oct-98
3,600 171.7600 7-Oct-98 9-Oct-98
10,800 173.0000 7-Oct-98 9-Oct-98
28,316 180.0000 7-Oct-98 9-Oct-98
200 177.5000 7-Oct-98 9-Oct-98
2,400 172.0000 7-Oct-98 9-Oct-98
2,500 170.0000 7-Oct-98 9-Oct-98
2,300 183.0000 7-Oct-98 9-Oct-98
2,000 171.2000 7-Oct-98 9-Oct-98
500 169.5070 7-Oct-98 12-Oct-98
100 168.7950 7-Oct-98 12-Oct-98
3,700 170.5000 7-Oct-98 9-Oct-98
9,184 175.5000 7-Oct-98 9-Oct-98
500 171.8963 7-Oct-98 12-Oct-98
4,000 172.6765 7-Oct-98 12-Oct-98
200 168.8950 7-Oct-98 12-Oct-98
1,284 186.0000 7-Oct-98 9-Oct-98
20,000 182.8600 7-Oct-98 9-Oct-98
200 172.0000 7-Oct-98 9-Oct-98
500 177.0000 7-Oct-98 9-Oct-98
400 183.0000 7-Oct-98 9-Oct-98
7,000 175.0000 7-Oct-98 9-Oct-98
1,000 189.0000 7-Oct-98 9-Oct-98
2,200 173.0000 7-Oct-98 9-Oct-98
2,000 186.0000 7-Oct-98 9-Oct-98
500 174.0000 7-Oct-98 9-Oct-98
800 174.5000 7-Oct-98 9-Oct-98
440 177.0000 7-Oct-98 9-Oct-98
1,000 189.0000 7-Oct-98 9-Oct-98
200 172.5000 7-Oct-98 9-Oct-98
1,500 188.0000 7-Oct-98 9-Oct-98
2,000 170.0000 7-Oct-98 9-Oct-98
1,400 169.0000 7-Oct-98 9-Oct-98
684 171.2000 7-Oct-98 9-Oct-98
500 172.0000 7-Oct-98 9-Oct-98
500 187.0000 7-Oct-98 9-Oct-98
500 171.2000 7-Oct-98 9-Oct-98
432 171.2000 7-Oct-98 9-Oct-98
100 171.5000 21-Oct-98 23-Oct-98
100 171.5000 21-Oct-98 23-Oct-98
3,500 170.0000 6-Oct-98 9-Oct-98
3,500 169.1500 19-Oct-98 22-Oct-98
6,500 170.0000 6-Oct-98 9-Oct-98
</TABLE>
Page 10
<PAGE> 53
<TABLE>
<CAPTION>
PURCHASES SALES PRICE TRADE DATE SETTLEMENT DATE
- --------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
6,500 181.4233 7-Oct-98 12-Oct-98
2,000 170.0000 6-Oct-98 9-Oct-98
2,000 184.0195 7-Oct-98 12-Oct-98
500 170.0000 6-Oct-98 9-Oct-98
500 181.3812 7-Oct-98 12-Oct-98
1,000 171.0710 8-Oct-98 13-Oct-98
400 170.0000 6-Oct-98 9-Oct-98
200 170.0000 6-Oct-98 9-Oct-98
</TABLE>
Page 11
<PAGE> 1
Exhibit 3
Goldman, Sachs & Co. oHG
MesseTurm
Friedrich-Ebert-Anlage 49
D-60308 Frankfurt am Main
Germany
iXOS Software AG
Technopark Meukeferloh
Bretonischer Ring 12
D-85630 Grasbrunn/Munchen
Germany
Ladies and Gentlemen:
The undersigned officer, director or beneficial owner of securities of
iXOS Software AG, a stock corporation organised under the laws of the Federal
Republic of Germany (the "Company"), understands that the Company is engaged in
the preparation of a global offering (the "Offering") of bearer ordinary
shares, no par value (the "Shares"), underwritten pursuant to a global
underwriting agreement (the "Underwriting Agreement") by Goldman, Sachs & Co.
oHG, as global coordinator (the "Global Coordinator"), and the several other
underwriters named therein (collectively with the Global Coordinator, the
"Underwriters").
The undersigned recognises that it is in the best financial interest of
the undersigned, as an officer, director or beneficial owner of securities of
the Company, that the Company complete the Offering, and you have requested
this agreement to facilitate the Offering.
In connection therewith, the undersigned hereby agrees that during the
period beginning on the date of and continuing to and including the date six
months after the pricing of the Offering, the undersigned will not (i) offer,
sell, contract to sell or otherwise dispose of, or enter into any transaction
(including a derivative transaction) having an economic effect similar to that
of a sale of, any Shares or any other securities of the Company which are
substantially similar to the Shares or which are convertible or exchangeable
into, or which represent the right to receive, Shares or securities which are
substantially similar to the Shares, except as provided hereunder, or (ii)
engage directly or indirectly in any transaction the likely result of which
would involve a transaction prohibited by clause (i) of this sentence, except
for the Shares offered in connection with the Offering.
The undersigned further represents and agrees that the undersigned has not
taken and will not take, directly or indirectly, any action which is designed
to or which is constituted or which might reasonably be expected to cause or
result in stabilisation or manipulation of the price of the Shares to
facilitate the sale or resale of the Share.
<PAGE> 2
Notwithstanding for foregoing restrictions on transfer, the undersigned
shall be permitted to make transfers with the prior written consent of the
Global Coordinator or pursuant to the Underwriting Agreement.
This agreement shall terminate six months after the pricing of the
Offering or if the Underwriting Agreement (other than the provisions thereof
that survive termination) shall terminate or be terminated prior to payment for
the delivery of the shares thereunder or if the Offering is not completed by
December 31, 1998. The Global Coordinator and the Company will send written
confirmation to the undersigned when this agreement has terminated.
Sincerely yours,
By: ____________________________
(Signature)
Name: ____________________________
(Print)
Date signed: ___________________ 1998 Title: ____________________________
<PAGE> 1
Exhibit 4
JOINT FILING AGREEMENT
In accordance with Rule 13d-1(k)(1) promulgated under the Securities
Exchange Act of 1934, the undersigned agree to the joint filing of a Statement
on Schedule 13D (including any and all amendments thereto) with respect to the
Bearer Ordinary Shares of iXOS Software Aktiengesellschaft and further agree
that this Joint Filing Agreement be included as an Exhibit thereto. In addition,
each party to this Agreement expressly authorizes each other party to this
Agreement to file on its behalf any and all amendments to such Statement.
November 10, 1998
GOLDMAN, SACHS & CO.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
THE GOLDMAN SACHS GROUP, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS ADVISORS, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
<PAGE> 2
GS ADVISORS (CAYMAN), L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II OFFSHORE L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
GS CAPITAL PARTNERS II (GERMANY) CIVIL LAW PARTNERSHIP
(with limitation of liability)
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
<PAGE> 3
GOLDMAN, SACHS & CO. oHG
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
STONE STREET FUND 1997, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
BRIDGE STREET FUND 1997, L.P.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
STONE STREET ASSET CORP.
By: /s/ HANS L. REICH
----------------------------------------------
Name: HANS L. REICH
Title: Attorney-in-fact
