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Goldman Sachs Group Inc, et al. – ‘SC 13D/A’ on 4/30/04 re: Goldman Sachs Group Inc

On:  Friday, 4/30/04, at 5:28pm ET   ·   Accession #:  950123-4-5528   ·   File #:  5-56295

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 4/30/04  Goldman Sachs Group Inc           SC 13D/A               1:177K Goldman Sachs Group Inc           RR Donnelley/FA
          Group Members Listed in Filing

Amendment to General Statement of Beneficial Ownership   —   Schedule 13D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13D/A    Amendment No. 51 to Schedule 13D                      76    414K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
30Trusts
44Partnerships
45Limited Liability Companies
"Corporations
47Item 1. Security and Issuer
"Item 2. Identity and Background
"Item 3. Source and Amount of Funds or Other Consideration
48Item 4. Purpose of Transactions
49Item 5. Interest in Securities of the Issuer
"Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
50Transfer Restrictions
51Waivers
52Information Regarding the Shareholders' Committee
53GS Inc
59Items 2(D) and 2(E). Information Required as to Certain Proceedings
60Item 4. Planned Disposition of Securities of the Issuer by Covered Persons
61Item 5(A). Description of Shares as to Which There Is A Right to Acquire Exercisable Within 60 Days
62Item 5(C). Description of All Transactions in the Common Stock Effected by the Covered Persons in the Past 60 Days and Not Previously Reported on Schedule 13D
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SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 File No. 005-56295 ----------------------------------------------------- SCHEDULE 13D/A (Rule 13d-101) Amendment No. 51 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Goldman Sachs Group, Inc. --------------------- (Name of Issuer) Common Stock, par value $.01 per share --------------------------- (Title of Class of Securities) 38141G 104 --------------------- (CUSIP Number) Gregory K. Palm Esta E. Stecher James B. McHugh The Goldman Sachs Group, Inc. 85 Broad Street New York, New York 10004 Telephone: (212) 902-1000 -------------------- (Name, Address and Telephone Number of Persons Authorized to Receive Notices and Communications) April 26, 2004 -------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. (Continued on following pages)
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--------------------- CUSIP NO. 38141G 104 13D --------------------- -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] -------------------------------------------------------------------------------- 3. SEC USE ONLY -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares (2) (Applies to each person listed on Appendix A.) -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) (Applies to each person listed on Appendix A.) [ ] -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. -------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY ------------------------------------------------------- OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to each REPORTING person listed on Appendix A.) PERSON WITH 169,600,814 Covered Shares held by Covered Persons 22,409 Uncovered Shares held by Covered Persons(3) 1,265,201 other Uncovered Shares held by Covered Persons(4) ------------------------------------------------------- 9. SOLE DISPOSITIVE POWER (See Item 6) As to Covered Shares, less than 1% As to Uncovered Shares, as stated in Appendix A ------------------------------------------------------- 10. SHARED DISPOSITIVE POWER (See Item 6): As to Covered Shares, 0 As to Uncovered Shares, as stated in Appendix A -------------------------------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 170,888,424(5) -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES [ ] CERTAIN SHARES -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 32.80% -------------------------------------------------------------------------------- 14. TYPE OF REPORTING PERSON: OO as to persons listed in Appendix A under the captions "Trusts" and "Limited Liability Companies"; PN as to persons listed in Appendix A under the caption "Partnerships"; CO as to persons listed in Appendix A under the caption "Corporations"; IN as to all other persons listed in Appendix A. -------------------------- (1) For a definition of this term, please see Item 2. (2) For a definition of this term, please see Item 3. (3) These are Uncovered Shares also described in Row 7 which each Covered Person is deemed to beneficially own by application of Rule 13d-5(b)(1), but do not include the Uncovered Shares described in note 4. Each Covered Person disclaims beneficial ownership of Uncovered Shares held by each other Covered Person. (4) These are Uncovered Shares held by 72 private charitable foundations established by 72 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations and may be deemed to beneficially own such Uncovered Shares. Each other Covered Person may be deemed to beneficially own such Uncovered Shares by application of Rule 13d-5(b)(1). Each such Covered Person disclaims beneficial ownership of such Uncovered Shares, and each other Covered Person also disclaims beneficial ownership of such Uncovered Shares. (5) Of these shares, 39,175,537 are deemed beneficially owned under Rule 13d-3(d)(1) because a Covered Person has the right to acquire beneficial ownership within 60 days of the date hereof. See Annex D for a description of these shares. The remaining 131,712,887 shares are beneficially owned by the Covered Persons as of the date hereof within the meaning of Rule 13d-3(a). 2
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APPENDIX A [Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Julian D. Abel UK 0 0 0 0 Bradley I. Abelow 0 0 0 0 Peter C. Aberg 0 0 0 0 Daniel A. Abut Argentina 0 0 0 0 Hilary E. Ackermann 0 0 0 0 John J. Adair 0 0 0 0 Jeffrey D. Adams 0 0 0 0 Alberto F. Ades Argentina 0 0 0 0 Ben I. Adler 0 0 0 0 Olusegun O. Aganga UK 0 0 0 0 Mark E. Agne 0 0 0 0 Gregory A. Agran 0 0 0 0 Raanan A. Agus 0 0 0 0 Syed H. Ahmad Pakistan 0 0 0 0 Jonathan R. Aisbitt UK 0 0 0 0 Yusuf A. Aliredha Bahrain 0 0 0 0 Andrew M. Alper 0 0 0 0 Philippe J. Altuzarra France 0 0 0 0 Ignacio Alvarez-Rendueles Spain 0 0 0 0 Rebecca Amitai 0 0 0 0 Thomas K. Amster 0 0 0 0 Elizabeth D. Anderson 0 0 0 0 Jason R. Anderson 0 0 0 0 John G. Andrews USA/UK 0 0 0 0 Francois Andriot France 0 0 0 0 Douglas M. Angstrom 0 0 0 0 Arnaud M. Apffel France 0 0 0 0 Lori B. Appelbaum 0 0 0 0 William W. Archer 0 0 0 0 Jesus A. Arias Spain 0 0 0 0 Philip S. Armstrong UK 0 0 0 0 Anton J. Arriola Spain 0 0 0 0 John A. Ashdown UK 0 0 0 0 Akio Asuke Japan 0 0 0 0 David M. Atkinson UK 0 0 0 0 Neil Z. Auerbach 0 0 0 0 Armen A. Avanessians 0 0 0 0 Dean C. Backer 0 0 0 0 William A. Badia 0 0 0 0 Charles Baillie 0 0 0 0 Bernardo Bailo Italy 0 0 0 0 Andrew G. Baird UK 0 0 0 0 Mona H. Baird 0 0 0 0 Michiel J. Bakker The Netherlands 0 0 0 0 Mark E. Bamford 0 0 0 0 William J. Bannon 0 0 0 0 John S. Barakat 0 0 0 0 Indrajit Bardhan India 0 0 0 0 4
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 Christopher M. Barter 0 0 0 0 Stacy Bash-Polley 0 0 0 0 Gareth W. Bater UK 0 0 0 0 Christopher A. Bates 0 0 0 0 David Baum 0 0 0 0 Andrew T. Bednar 0 0 0 0 Frank A. Bednarz 0 0 0 0 Jonathan A. Beinner 0 0 0 0 Douglas S. Bell UK 0 0 0 0 Janet L. Bell 0 0 0 0 Ron E. Beller 0 0 0 0 Driss Ben-Brahim Morocco 0 0 0 0 Jordan M. Bender 0 0 0 0 Anna Maria J. Bentley UK 0 0 0 0 Susan M. Benz 0 0 0 0 Kenneth Berents 0 0 0 0 Michael G. Berini 0 0 0 0 Milton R. Berlinski The Netherlands 0 0 0 0 Andrew S. Berman 0 0 0 0 Frances R. Bermanzohn 0 0 0 0 Paul D. Bernard 0 0 0 0 Stuart N. Bernstein 0 0 0 0 Robert A. Berry UK 0 0 0 0 John D. Bertuzzi 0 0 0 0 Elizabeth E. Beshel 0 0 0 0 Andrew M. Bevan UK 0 0 0 0 Jean-Luc Biamonti Monaco 0 0 0 0 James J. Birch UK 0 0 0 0 Gary D. Black 0 0 0 0 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 0 0 0 0 David W. Blood 0 0 0 0 Randall A. Blumenthal 0 0 0 0 David R. Boles 0 0 0 0 Marjorie Boliscar 0 0 0 0 Oliver R. Bolitho UK 0 0 0 0 Michael F. Bonte-Friedheim Germany 0 0 0 0 Johannes M. Boomaars The Netherlands 0 0 0 0 Douglas L. Borden 0 0 0 0 Antonio Borges Portugal 0 0 0 0 J. Theodore Borter 0 0 0 0 Alastair M. Borthwick UK 0 0 0 0 Alison L. Bott UK 0 0 0 0 Charles W.A. Bott UK 0 0 0 0 Sally A. Boyle UK 0 0 0 0 George M. Brady 0 0 0 0 Mairtin Brady Ireland 0 0 0 0 Lester R. Brafman 0 0 0 0 5
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Benjamin S. Bram 0 0 0 0 Graham Branton UK 0 0 0 0 Thomas C. Brasco 0 0 0 0 Alan J. Brazil 0 0 0 0 John Breyo 0 0 0 0 Timothy J. Bridges UK 0 0 0 0 Victoria A. Bridges 0 0 0 0 Peter L. Briger, Jr. 0 0 0 0 Craig W. Broderick 0 0 0 0 Richard J. Bronks UK 0 0 0 0 Julia A. Bronson 0 0 0 0 Holger Bross Germany 0 0 0 0 Cynthia A. Brower 0 0 0 0 Kathleen Brown 0 0 0 0 Melissa R. Brown 0 0 0 0 Peter D. Brundage 0 0 0 0 John J. Bu 0 0 0 0 Lawrence R. Buchalter 0 0 0 0 David D. Buckley UK 0 0 0 0 Mark J. Buisseret UK 0 0 0 0 Steven M. Bunson 0 0 0 0 Timothy B. Bunting UK 0 0 0 0 Nicholas F. Burgin 0 0 0 0 Andrew J. Burke-Smith Canada 0 0 0 0 Randall S. Burkert 142 0 142 0 Michael S. Burton UK 0 0 0 0 Joseph M. Busuttil 0 0 0 0 George H. Butcher III 0 0 0 0 Mary D. Byron 0 0 0 0 Jin Yong Cai China 0 0 0 0 Sebastiano Calabro 0 0 0 0 Lawrence V. Calcano 0 0 0 0 Elizabeth V. Camp 0 0 0 0 John D. Campbell 0 0 0 0 Richard M. Campbell-Breeden UK 0 0 0 0 Philippe L. Camu Belgium 0 0 0 0 David E. Cantillon Ireland 0 0 0 0 Sally W. Cantwell UK 0 600(6) 0 600(6) Gerald J. Cardinale 0 0 0 0 Mark M. Carhart 0 0 0 0 Mariafrancesca Carli Italy 0 0 0 0 Valentino D. Carlotti 0 0 0 0 Anthony H. Carpet 0 0 0 0 Michael J. Carr 0 0 0 0 Christopher J. Carrera 10 0 10 0 Mark Carroll 0 0 0 0 ------------------------ (6) Shared with family members. 6
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Virginia E. Carter 0 0 0 0 Mary Ann Casati 0 0 0 0 Chris Casciato 0 0 0 0 John W. Cembrook 0 0 0 0 Eduardo Centola Brazil 0 0 0 0 Robert J. Ceremsak, Jr. 0 0 0 0 Lik Shuen David Chan Hong Kong 0 0 0 0 Kuo-Chun Chang Taiwan 0 0 0 0 Amy L. Chasen 0 0 0 0 Sacha A. Chiaramonte Germany 0 0 0 0 Andrew A. Chisholm Canada 0 0 0 0 W. Reed Chisholm II 499 0 499 0 Thomas V. Cholnoky 0 0 0 0 Robert J. Christie 0 0 0 0 Jane P. Chwick 0 0 0 0 James R. Cielinski 0 0 0 0 Peter T. Cirenza 0 0 0 0 Geoffrey G. Clark Canada 0 0 0 0 James B. Clark 0 0 0 0 Kent A. Clark Canada 0 0 0 0 Alexander Classen Switzerland 0 0 0 0 Catherine M. Claydon Canada 0 0 0 0 Zachariah Cobrinik 0 0 0 0 Kelly C. Coffey 0 0 0 0 Abby Joseph Cohen 0 0 0 0 Alan M. Cohen 0 0 0 0 Lawrence A. Cohen 200 0 200 0 Marc I. Cohen 0 0 0 0 Gary D. Cohn 0 0 0 0 Christopher A. Cole 0 0 0 0 Timothy J. Cole 0 0 0 0 Colin Coleman South Africa 0 0 0 0 Marcus R. Colwell 0 0 0 0 Peter H. Comisar 0 0 0 0 Laura C. Conigliaro 0 0 0 0 Thomas V. Conigliaro 670 0 670 0 William J. Conley, Jr. 417 0 417 0 Thomas G. Connolly Ireland/USA 0 0 0 0 Frank T. Connor 0 0 0 0 Karen R. Cook UK 0 0 0 0 Edith W. Cooper 0 0 0 0 Philip A. Cooper 0 0 0 0 Kenneth W. Coquillette 0 0 0 0 Carlos A. Cordeiro 0 0 0 0 Colin J. Corgan 0 0 0 0 David W. Corley 0 0 0 0 Thomas W. Cornacchia 0 0 0 0 Henry Cornell 0 0 0 0 E. Gerald Corrigan 0 0 0 0 Claudio Costamagna Italy 0 0 0 0 7
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Marta Z. Cotton 0 0 0 0 James A. Coufos 0 0 0 0 Frank L. Coulson, Jr. 0 0 0 0 Kenneth Courtis 0 0 0 0 Eric J. Coutts UK 0 0 0 0 Beverley M. Covell UK 0 0 0 0 Randolph L. Cowen 0 0 0 0 Brahm S. Cramer Canada 0 0 0 0 Nicholas P. Crapp UK 0 0 0 0 Michael J. Crinieri 0 0 0 0 Craig W. Crossman Australia 0 0 0 0 Neil D. Crowder 0 0 0 0 Michael L. Crowl 0 0 0 0 Eduardo A. Cruz 0 0 0 0 Jeffrey R. Currie 0 0 0 0 John P. Curtin, Jr. 0 0 0 0 John W. Curtis 0 0 0 0 Matthew H. Cyzer UK 0 0 0 0 Michael D. Daffey Australia 0 0 0 0 Stephen C. Daffron 0 0 0 0 Linda S. Daines 0 0 0 0 Paul B. Daitz 0 0 0 0 John S. Daly Ireland 0 0 0 0 Stephen D. Daniel Canada 0 0 0 0 Philip M. Darivoff 0 0 0 0 Frederick C. Darling 0 0 0 0 Matthew S. Darnall 0 0 0 0 David H. Dase 0 0 0 0 Timothy D. Dattels Canada 0 0 0 0 Gavyn Davies UK 0 0 0 0 Stephen Davies UK 0 0 0 0 Katherine R. Davisson 0 0 0 0 Oral W. Dawe Canada 0 0 0 0 Diego De Giorgi Italy 0 0 0 0 Michael G. De Lathauwer Belgium 0 0 0 0 Francois-Xavier De Mallmann France/Switzerland 0 0 0 0 Jean A. De Pourtales France/UK 0 0 0 0 Giorgio De Santis Italy 0 0 0 0 Luigi de Vecchi Italy 0 0 0 0 David A. Dechman 0 0 0 0 Daniel L. Dees 0 0 0 0 Bradley S. DeFoor 0 0 0 0 Mark Dehnert 0 0 0 0 Paul C. Deighton UK 0 0 0 0 Alvaro del Castano Spain 0 0 0 0 James Del Favero Australia 0 0 0 0 Juan A. Del Rivero Spain 0 0 0 0 Robert V. Delaney, Jr. 0 0 0 0 Joseph Della Rosa 0 0 0 0 8
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Thomas F. Dempsey 0 0 0 0 Roger E. Denby-Jones UK 0 0 0 0 Neil V. DeSena 0 0 0 0 Martin R. Devenish UK 0 0 0 0 Andrew C. Devenport UK 0 0 0 0 Stephen D. Dias UK 0 0 0 0 Armando A. Diaz 0 0 0 0 Alexander C. Dibelius Germany 0 0 0 0 David G. Dick UK 0 0 0 0 James D. Dilworth 0 0 0 0 Simon P. Dingemans UK 0 0 0 0 Joseph P. DiSabato 0 0 0 0 Michele I. Docharty 0 0 0 0 Paula A. Dominick 0 0 0 0 Noel B. Donohoe Ireland 0 0 0 0 Suzanne O. Donohoe 0 0 0 0 James H. Donovan 0 0 0 0 Jana Hale Doty 0 0 0 0 Robert G. Doumar, Jr. 0 0 0 0 Thomas M. Dowling 0 0 0 0 John O. Downing 0 0 0 0 Mario Draghi Italy 0 0 0 0 Michael B. Dubno 0 0 0 0 Connie K. Duckworth 0 0 0 0 William C. Dudley 0 0 0 0 Donald J. Duet 0 0 0 0 Brian J. Duffy 0 0 0 0 Brian Duggan 0 0 0 0 C. Steven Duncker 0 0 0 0 Karlo J. Duvnjak Canada 0 0 0 0 Jay S. Dweck 0 0 0 0 Michael L. Dweck 0 0 0 0 Gordon E. Dyal 0 0 0 0 Isabelle Ealet France 0 0 0 0 Glenn P. Earle UK 0 0 0 0 David C. Earling 0 0 0 0 Seaborn S. Eastland 0 0 0 0 Kenneth M. Eberts III 0 0 0 0 Paul S. Efron 0 0 0 0 Herbert E. Ehlers 0 0 0 0 Robert K. Ehudin 0 0 0 0 John E. Eisenberg 0 0 0 0 Edward K. Eisler Austria 0 0 0 0 Jason H. Ekaireb UK 0 0 0 0 Gregory H. Ekizian 0 0 0 0 Kathy G. Elsesser 0 0 0 0 Glenn D. Engel 0 0 0 0 Peter C. Enns Canada 0 0 0 0 Katherine B. Enquist 0 0 0 0 L. Brooks Entwistle 0 0 0 0 9
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Earl S. Enzer 0 0 0 0 Christopher H. Eoyang 0 0 0 0 Christian Erickson 0 0 0 0 Fred W. Esiri UK 0 0 0 0 James P. Esposito 0 0 0 0 Michael P. Esposito 0 0 0 0 George C. Estey Canada 0 0 0 0 Bruce J. Evans 0 0 0 0 J. Michael Evans Canada 0 0 0 0 W. Mark Evans Canada 0 0 0 0 Charles P. Eve UK 0 0 0 0 Elizabeth C. Fascitelli 0 0 0 0 Jeffrey F. Fastov 0 0 0 0 Douglas L. Feagin 0 0 0 0 Regina M. Feeney 0 0 0 0 Pieter Maarten Feenstra The Netherlands 0 0 0 0 Norman Feit 0 0 0 0 Steven M. Feldman 0 0 0 0 Laurie R. Ferber 0 0 0 0 Luca D. Ferrari 0 0 0 0 John A. Ferro, Jr. 0 0 0 0 Gail S. Fierstein 0 0 0 0 Gregory A. Finck 0 0 0 0 David A. Fishman 0 0 0 0 Lawton W. Fitt 0 0 0 0 Stephen C. Fitzgerald Australia 0 0 0 0 Daniel M. FitzPatrick 0 0 0 0 James A. Fitzpatrick 0 0 0 0 Pierre-Henri Flamand France 0 0 0 0 Alexander W. Fletcher UK 0 0 0 0 Mark C. Fletcher UK 0 0 0 0 Mark B. Florian 0 0 0 0 Timothy B. Flynn 0 0 0 0 Elisabeth Fontenelli 0 0 0 0 David B. Ford 0 134(7) 0 134(7) Elizabeth J. Ford 0 0 0 0 Edward C. Forst 0 0 0 0 Colleen A. Foster 0 0 0 0 George B. Foussianes 0 0 0 0 Linda M. Fox 0 0 0 0 Stephen H. Frank 0 0 0 0 Oliver L. Frankel 0 0 0 0 Jeffrey S. Frase 0 0 0 0 Orit P. Freedman Israel 0 0 0 0 Matthew T. Fremont-Smith 0 0 0 0 Christopher G. French UK 0 0 0 0 Timothy G. Freshwater UK 0 0 0 0 Jacob Y. Friedman 0 0 0 0 ------------------------ (7) Shared with family members. 10
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Richard A. Friedman 0 0 0 0 Kieu L. Frisby 0 0 0 0 Matthias K. Frisch Switzerland 0 0 0 0 Robert K. Frumkes 0 0 0 0 C. Douglas Fuge 0 0 0 0 Shirley Fung UK 0 0 0 0 Timothy T. Furey 0 0 0 0 Enrico S. Gaglioti 0 0 0 0 Timur F. Galen 0 0 0 0 Maryann L. Gallivan 0 2000(8) 0 2000(8) Gonzalo R. Garcia Chile 0 0 0 0 Guillermo Garcia Mexico 0 0 0 0 James R. Garvey Ireland 0 0 0 0 Joseph D. Gatto 0 0 0 0 Richard A. Genna 0 0 0 0 Hywel D. George UK 0 0 0 0 Peter C. Gerhard 0 0 0 0 Kenneth K. Gershenfeld 0 0 0 0 Rajiv A. Ghatalia India 0 0 0 0 Robert R. Gheewalla 0 0 0 0 Nomi Ghez Israel/USA 0 0 0 0 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 Nicholas G. Giordano 0 300(9) 0 300(9) Joseph H. Gleberman 0 0 0 0 Justin G. Gmelich 0 0 0 0 Richard J. Gnodde Ireland/ South Africa 0 0 0 0 Jeffrey B. Goldenberg 0 2,860(10) 0 2,860(10) Rachel C. Golder 0 0 0 0 Jacob D. Goldfield 0 0 0 0 Daniel C. Goldwater UK 0 0 0 0 James S. Golob 0 0 0 0 Gregg A. Gonsalves 0 0 0 0 Amy O. Goodfriend 0 0 0 0 Larry J. Goodwin 0 0 0 0 Andrew M. Gordon 0 0 0 0 Robert D. Gottlieb 0 0 0 0 Gregory M. Gould 0 0 0 0 Frank J. Governali 0 0 0 0 Lorenzo Grabau Italy 0 0 0 0 Geoffrey T. Grant 0 0 0 0 William M. Grathwohl 0 0 0 0 Pedro Gonzalez Grau Spain 0 0 0 0 Eldridge F. Gray 0 0 0 0 ------------------------ (8) Shared with family members. (9) Shared with family members. (10) Shared with family members. 11
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Michael J. Graziano 0 0 0 0 Carmen A. Greco 0 0 0 0 Stefan Green Australia 0 0 0 0 David J. Greenwald 0 0 0 0 Louis S. Greig UK 0 0 0 0 William W. Gridley 0 0 0 0 Peter W. Grieve 0 0 0 0 Christopher Grigg UK 0 0 0 0 Edward Sebastian Grigg UK/France 0 0 0 0 Michael J. Grimaldi 0 0 0 0 Douglas C. Grip 0 0 0 0 Peter Gross 0 0 0 0 David J. Grounsell UK 0 0 0 0 Eric P. Grubman 0 0 0 0 Edward J. Guay 0 0 0 0 Kevin J. Guidotti 0 0 0 0 Arun M. Gunewardena Sri Lanka 0 0 0 0 Vishal Gupta India 0 0 0 0 Celeste A. Guth 0 0 0 0 Vladimir M. Gutin 0 0 0 0 Joseph D. Gutman 0 0 0 0 Douglas A. Guzman Canada 0 0 0 0 Erol Hakanoglu Turkey 0 0 0 0 Elizabeth M. Hammack 0 0 0 0 David R. Hansen Australia 0 0 0 0 Jane Hargreaves UK 0 0 0 0 Mary L. Harmon 0 0 0 0 Roger C. Harper 0 0 0 0 Robert S. Harrison 0 0 0 0 Valerie J. Harrison UK 0 0 0 0 Shelley A. Hartman 0 0 0 0 Paul R. Harvey 0 0 0 0 Taizo Hasebe Japan 0 0 0 0 Rumiko Hasegawa Japan 0 0 0 0 A. John Hass 0 0 0 0 Stephen J. Hay UK 0 0 0 0 Kuniyoshi Hayashi Japan 0 0 0 0 Keith L. Hayes UK 0 0 0 0 Edward A. Hazel 860 300(11) 860 300(11) Thomas J. Healey 0 0 0 0 Robert C. Heathcote UK 0 0 0 0 Sylvain M. Hefes France 0 0 0 0 Douglas C. Heidt 0 0 0 0 David B. Heller 0 0 0 0 Steven M. Heller 0 0 0 0 William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 ------------------------ (11) Shared with family members. 12
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- David P. Hennessey 0 0 0 0 R. Douglas Henderson 0 0 0 0 David L. Henle 0 600 0 600 Mary C. Henry 0 0 0 0 Benoit Herault France 0 0 0 0 Peter C. Herbert 0 0 0 0 Bruce A. Heyman 0 0 0 0 Stephen Hickey 0 0 0 0 Melina E. Higgins 0 0 0 0 Robert E. Higgins 0 0 0 0 Joanne M. Hill 0 0 0 0 Michael I. Hill UK 0 0 0 0 M. Roch Hillenbrand 0 0 0 0 Donald W. Himpele 0 0 0 0 Kenneth L. Hirsch 0 0 0 0 Kenneth W. Hitchner 0 0 0 0 Maykin Ho 0 0 0 0 Timothy E. Hodgson Canada 0 0 0 0 Axel Hoerger Germany 0 0 0 0 Jacquelyn M. Hoffman-Zehner Canada 0 0 0 0 Christopher G. Hogg New Zealand/USA 0 0 0 0 Svein R. Hogset Norway 0 0 0 0 Simon N. Holden UK 0 0 0 0 Margaret J. Holen 0 0 0 0 Daniel E. Holland III 0 0 0 0 Teresa E. Holliday 0 0 0 0 Peter Hollmann Germany 0 0 0 0 Philip Holzer Germany 0 0 0 0 Gregory T. Hoogkamp 0 0 0 0 Sean C. Hoover 0 0 0 0 Shin Horie Japan 0 0 0 0 Jay D. Horine 0 0 0 0 Robert D. Hormats 0 0 0 0 Robert G. Hottensen, Jr. 578 0 578 0 Thomas J. Houle 0 0 0 0 Michael R. Housden UK 0 0 0 0 Robert Howard 0 0 0 0 Mark Howard-Johnson 0 0 0 0 Zu Liu Frederick Hu China 0 0 0 0 Paul J. Huchro 0 0 0 0 James A. Hudis 0 0 0 0 Terry P. Hughes Ireland 0 0 0 0 Bimaljit S. Hundal UK 0 0 0 0 Edith A. Hunt 0 0 0 0 Susan J. Hunt UK 0 0 0 0 Janet T. Hurley 0 0 0 0 Fern Hurst 0 0 0 0 Robert J. Hurst 100 0 100 0 Elizabeth A. Husted 0 0 0 0 13
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Walter V. Hutcherson 0 0 0 0 Phillip S. Hylander UK 0 0 0 0 John S. Iglehart 0 0 0 0 Robert F. Incorvaia 0 0 0 0 Toni-Dara Infante 0 0 0 0 Francis J. Ingrassia 0 0 0 0 Timothy J. Ingrassia 0 0 0 0 Zubin P. Irani India 0 0 0 0 Hideki Ishibashi Japan 0 0 0 0 Raymond J. Iwanowski 0 0 0 0 Walter A. Jackson 0 0 0 0 William L. Jacob III 0 0 0 0 James A. Jacobson 0 0 0 0 Richard I. Jaffee 0 0 0 0 Stefan J. Jentzsch Germany 0 0 0 0 Andrew R. Jessop UK 0 0 0 0 Dan H. Jester 0 0 0 0 Thomas Jevon 0 0 0 0 Daniel J. Jick 0 0 0 0 David M. Jimenez-Blanco Spain 0 0 0 0 Peter T. Johnston 523 0 523 0 Andrew J. Jonas 0 0 0 0 Adrian M. Jones Ireland 0 0 0 0 Emerson P. Jones 0 0 0 0 Robert C. Jones 0 0 0 0 Terrence O. Jones 0 0 0 0 William J. Jones 0 0 0 0 Kevin M. Jordan 0 0 0 0 Mei L. Joseph Singapore 0 0 0 0 Roy R. Joseph Guyana 0 0 0 0 Kenneth L. Josselyn 0 0 0 0 Chansoo Joung 0 0 0 0 Andrew J. Kaiser 0 0 0 0 Ann F. Kaplan 21 0 21 0 Barry A. Kaplan 0 0 0 0 David A. Kaplan 0 0 0 0 Jason S. Kaplan 0 0 0 0 Robert S. Kaplan 0 0 0 0 Scott B. Kapnick 0 1,666(12) 0 1,666(12) Atul Kapur India 0 0 0 0 Erland S. Karlsson Sweden 0 0 0 0 James M. Karp 0 0 0 0 Toshinobu Kasai Japan 0 0 0 0 Shunji Katayama Japan 0 0 0 0 Richard Katz 0 0 0 0 Robert J. Katz 0 0 0 0 James C. Katzman 0 0 0 0 ------------------------ (12) Shared with family members. 14
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- David K. Kaugher 0 0 0 0 Alan S. Kava 0 0 0 0 Larry M. Kellerman 0 0 0 0 John L. Kelly 0 0 0 0 Carsten Kengeter Germany 0 0 0 0 Kevin W. Kennedy 0 0 0 0 Gioia M. Kennett 0 0 0 0 James P. Kenney 0 0 0 0 William J. Kenney 0 0 0 0 Thomas J. Kenny 0 0 0 0 Steven E. Kent 0 0 0 0 Steven Kerr 0 0 0 0 John G. Ketterer III 0 0 0 0 Lawrence S. Keusch 0 0 0 0 Rustom N. Khandalavala 0 0 0 0 Philippe Khuong-Huu France 0 0 0 0 Peter D. Kiernan III 0 0 0 0 Sun Bae Kim Canada 0 0 0 0 Douglas W. Kimmelman 445 0 445 0 Masaaki Kimura South Korea 0 0 0 0 Colin E. King Canada 429 0 429 0 Jonathan S. King UK 0 0 0 0 Robert C. King, Jr. 0 0 0 0 Timothy M. Kingston 0 0 0 0 Shigeki Kiritani Japan 0 0 0 0 Ewan M. Kirk UK 0 0 0 0 Remy Klammers France 0 0 0 0 Daniel H. Klebes II 0 0 0 0 Michael Klimek 0 0 0 0 Michael K. Klingher 0 0 0 0 Frederick J. Knecht 0 0 0 0 Bradford C. Koenig 0 0 0 0 Andreas Koernlein Germany 0 0 0 0 Mark J. Kogan 0 0 0 0 Yasuro K. Koizumi Japan 0 0 0 0 J. Christopher A. Kojima Canada 0 0 0 0 Kazuaki Kojima Japan 0 0 0 0 Jonathan L. Kolatch 0 0 0 0 Jeffrey A. Kolitch 0 0 0 0 Richard E. Kolman 0 0 0 0 Takahiro Komatsu Japan 0 0 0 0 Robert A. Koort 0 0 0 0 Philip J. Kopp III 0 0 0 0 David J. Kostin 0 0 0 0 Koji Kotaka Japan 0 0 0 0 John D. Kramer 0 0 0 0 Peter S. Kraus 15 0 15 0 Srihari Kumar India 0 0 0 0 Mary Lyn Valkenburg Kurish 0 0 0 0 15
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Eiichiro Kuwana Japan 0 0 0 0 Tak Sing Kenneth Kwok Hong Kong 0 0 0 0 Joon Kwun South Korea 0 0 0 0 Peter Labbat 0 0 0 0 Brian J. Lahey 0 0 0 0 Peggy A. Lamb 0 0 0 0 Simon M. Lamb UK 0 0 0 0 David G. Lambert 0 0 0 0 Joseph A. LaNasa III 0 0 0 0 Eric S. Lane 0 0 0 0 Thomas K. Lane 0 0 0 0 Rudolf N. Lang Germany 0 0 0 0 Jonathan A. Langer 0 0 0 0 Michiel P. Lap The Netherlands 0 0 0 0 Gary R. Lapidus 0 0 0 0 Bruce M. Larson 0 0 0 0 Thomas D. Lasersohn 0 0 0 0 Anthony D. Lauto 0 0 0 0 John J. Lauto 0 0 0 0 Matthew Lavicka 0 0 0 0 Peter T. Lawler 0 0 0 0 David N. Lawrence 0 0 0 0 Hugh J. Lawson 0 0 0 0 Peter J. Layton 0 0 0 0 Susan R. Leadem 0 0 0 0 Andrew D. Learoyd UK 0 0 0 0 Brian J. Lee 0 0 0 0 Cham Chung Ken Lee Hong Kong 0 0 0 0 Chan-Keun Lee South Korea 0 0 0 0 George C. Lee 0 0 0 0 Gregory D. Lee Australia 0 0 0 0 Ronald Lee 0 0 0 0 Kenneth H. M. Leet 0 0 0 0 Richard O. Leggett 0 0 0 0 Tim Leissner Brazil 0 0 0 0 Todd W. Leland 0 0 0 0 Paulo C. Leme 0 0 0 0 Gregg R. Lemkau 0 0 0 0 Remco O. Lenterman The Netherlands 0 0 0 0 Deborah R. Leone 0 0 0 0 Hughes B. Lepic France 0 0 0 0 Johan H. Leven Sweden 0 0 0 0 Ronald S. Levin 0 0 0 0 Allan S. Levine 0 0 0 0 Brian T. Levine 0 0 0 0 Jack Levy 0 0 0 0 Richard J. Levy UK 0 0 0 0 Tobin V. Levy 0 0 0 0 P. Jeremy Lewis 0 0 0 0 Mark E. Leydecker 0 0 0 0 16
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Matthew G. L'Heureux 0 0 0 0 George C. Liberopoulos Canada/USA 0 0 0 0 Gwen R. Libstag 0 0 0 0 Stephen C. Lichtenauer 0 0 0 0 Roger A. Liddell UK 0 0 0 0 Richard J. Lieb 0 0 0 0 Lisette M. Lieberman 775 0 775 0 Mitchell J. Lieberman 0 0 0 0 Richerd C. Lightburn 0 0 0 0 Terence Tayseop Lim South Korea 0 0 0 0 Ryan D. Limaye 0 0 0 0 Josephine Linden UK 0 0 0 0 Lawrence H. Linden 0 0 0 0 Anthony W. Ling UK 0 0 0 0 Roger E. Linnemann, Jr. 0 0 0 0 Bonnie S. Litt 0 0 0 0 Robert Litterman 0 0 0 0 Robert H. Litzenberger 0 0 0 0 Julia Liu 0 0 0 0 Jill E. Lohrfink 0 0 0 0 Douglas F. Londal 0 0 0 0 Joseph Longo 0 0 0 0 Jonathan M. Lopatin 0 0 0 0 Francisco Lopez-Balboa 0 0 0 0 Victor M. Lopez-Balboa 0 0 0 0 Antigone Loudiadis UK 0 0 0 0 Kevin L. Lundeen 0 0 0 0 Mark A. Lynch UK 0 0 0 0 Michael R. Lynch 0 0 0 0 Thomas R. Lynch 0 0 0 0 Peter J. Lyon 0 0 0 0 Peter B. MacDonald UK 0 0 0 0 Mark G. Machin UK 0 0 0 0 Paula B. Madoff 0 0 0 0 Shogo Maeda Japan 0 0 0 0 Christopher J. Magarro 0 0 0 0 John A. Mahoney 0 0 0 0 Sean O. Mahoney 0 0 0 0 Russell E. Makowsky 0 0 0 0 Keith A. Malas 0 0 0 0 Aadarsh K. Malde UK 0 0 0 0 Puneet Malhi UK 0 0 0 0 Peter G. C. Mallinson UK 0 0 0 0 John V. Mallory 0 0 0 0 Kathleen M. Maloney 0 0 0 0 Jean E. Manas Greece 0 0 0 0 Charles G. R. Manby UK 0 0 0 0 Robert S. Mancini 0 0 0 0 Barry A. Mannis 0 0 0 0 Simon I. Mansfield 0 0 0 0 17
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Elizabeth C. Marcellino 0 0 0 0 Joseph C. Marconi 0 0 0 0 Ronald G. Marks 0 0 0 0 Robert J. Markwick UK 0 0 0 0 Nicholas I. Marovich 0 0 0 0 Alexander M. Marshall UK 0 0 0 0 David J. Marshall 0 0 0 0 Allan S. Marson UK 0 0 0 0 Paul A. Marson UK 0 0 0 0 Eff W. Martin 0 0 0 0 Alison J. Mass 0 0 0 0 Robert A. Mass 0 0 0 0 John J. Masterson 0 0 0 0 David J. Mastrocola 0 0 0 0 Blake W. Mather 0 0 0 0 Kathy M. Matsui 0 0 0 0 Naomi Matsuoka Japan 0 0 0 0 Thomas H. Mattox 0 0 0 0 George N. Mattson 0 0 0 0 Jason E. Maynard 0 0 0 0 Thomas J. McAdam 102 0 102 0 Richard F. McArdle 0 0 0 0 John J. McCabe 0 0 0 0 Theresa E. McCabe 0 0 0 0 James P. McCarthy 0 0 0 0 Joseph M. McConnell 0 0 0 0 Ian R. McCormick UK 0 0 0 0 Lynn M. McCormick 0 0 0 0 Gordon R. McCulloch UK 0 0 0 0 Dermot W. McDonogh Ireland 0 0 0 0 Mark E. McGoldrick 0 0 0 0 Joseph P. McGrath, Jr. 0 0 0 0 Stephen J. McGuinness 0 0 0 0 John C. McIntire 0 0 0 0 Matthew B. McLennan Australia 0 0 0 0 John W. McMahon 0 0 0 0 Geraldine F. McManus 0 0 0 0 Gerald C. McNamara, Jr. 0 0 0 0 James A. McNamara 0 215(13) 0 215(13) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 John P. McNulty 0 0 0 0 Stuart G. McPherson UK 0 0 0 0 Robert A. McTamaney 0 0 0 0 E. Scott Mead 160 0 160 0 Lance P. Meaney 0 0 0 0 Sharon I. Meers 0 0 0 0 David M. Meerschwam The Netherlands 0 0 0 0 ------------------------ (13) Shared with family members. 18
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Sanjeev K. Mehra India 0 0 0 0 Stephen J. Mellas 0 0 0 0 Andrew J. Melnick 0 0 0 0 Bruce H. Mendelsohn 100 400(14) 100 400(14) Michael A. Mendelson 0 0 0 0 Bernard A. Mensah UK 0 0 0 0 Garry E. Menzel UK 0 0 0 0 T. Willem Mesdag 0 0 0 0 Andrew L. Metcalfe UK 0 0 0 0 Julian R. Metherell UK 0 0 0 0 Olivier F. Meyohas France 0 0 0 0 Michael R. Miele 0 0 0 0 Therese L. Miller 0 0 0 0 Michael J. Millette 0 0 0 0 James E. Milligan 0 0 0 0 Milton R. Millman 0 0 0 0 Eric M. Mindich 0 0 0 0 Luciana D. Miranda Brazil 0 0 0 0 Edward S. Misrahi Italy 0 0 0 0 Kristi L. Mitchem 0 0 0 0 Gregory C. Mitsch 0 0 0 0 Masatoki J. Mitsumata Japan 0 0 0 0 Wataru Mizoguchi Japan 0 0 0 0 Steven T. Mnuchin 0 0 0 0 Masanori Mochida Japan 0 0 0 0 Timothy H. Moe 0 0 0 0 Douglas D. Moffitt 0 0 0 0 Philip J. Moffitt Australia 0 0 0 0 Scott E. Molin 0 0 0 0 Karsten N. Moller Denmark 0 0 0 0 Thomas K. Montag 0 0 0 0 William C. Montgomery 0 0 0 0 Wayne L. Moore 0 0 0 0 J. Ronald Morgan, III 0 0 0 0 Yukihiro Moroe Japan 0 0 0 0 James P. Morris 0 0 0 0 Robert B. Morris III 0 0 0 0 Simon P. Morris UK 0 0 0 0 Thomas C. Morrow 0 0 0 0 Jeffrey M. Moslow 0 0 0 0 Sharmin Mossavar-Rahmani UK 0 0 0 0 Gregory T. Mount 0 0 0 0 Ian Mukherjee UK 0 0 0 0 Edward A. Mule 0 0 0 0 Donald R. Mullen 0 0 0 0 Eric D. Mullins 0 0 0 0 Donald J. Mulvihill 0 0 0 0 ------------------------ (14) Shared with family members. 19
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Patrick E. Mulvihill Ireland 0 0 0 0 Alvise J. Munari UK 0 0 0 0 Rie Murayama Japan 0 0 0 0 Richard A. Murley UK 0 0 0 0 Philip D. Murphy 0 0 0 0 Thomas S. Murphy, Jr. 0 0 0 0 Arjun N. Murti 0 0 0 0 Gaetano J. Muzio 0 0 0 0 Marc O. Nachmann Germany 0 0 0 0 Kota Nakako 0 0 0 0 Avi M. Nash 0 0 0 0 Kevin D. Naughton 0 0 0 0 Mark J. Naylor UK 0 0 0 0 Jeffrey P. Nedelman 0 0 0 0 Daniel M. Neidich 68 0 68 0 Kipp M. Nelson 0 0 0 0 Leslie S. Nelson 0 0 0 0 Robin Neustein 0 0 0 0 Claire M. Ngo 0 0 0 0 Duncan L. Niederauer 0 0 0 0 Theodore E. Niedermayer USA/France 0 0 0 0 Erik F. Nielsen Denmark 0 0 0 0 Hideya Niimi Japan 0 0 0 0 Susan M. Noble UK 0 0 0 0 Markus J. Noe-Nordberg Austria 0 0 0 0 Suok J. Noh 0 0 0 0 David J. Nolan Australia 0 0 0 0 Suzanne M. Nora Johnson 0 0 0 0 Christopher K. Norton 0 0 0 0 Craig J. Nossel USA/South Africa 0 0 0 0 Anthony J. Noto 0 0 0 0 Michael E. Novogratz 0 0 0 0 Jay S. Nydick 0 0 0 0 Katherine K. Oakley 0 0 0 0 Eric M. Oberg 0 0 0 0 Alok Oberoi India 0 10,000(15) 0 10,000(15) Gavin G. O'Connor 0 0 0 0 Fergal J. O'Driscoll Ireland 0 0 0 0 L. Peter O'Hagan Canada 0 0 0 0 Terence J. O'Neill UK 0 0 0 0 Timothy J. O'Neill 0 0 0 0 Richard T. Ong Malaysia 0 0 0 0 Taneki Ono Japan 0 0 0 0 Donald C. Opatrny, Jr. 0 0 0 0 Peter C. Oppenheimer UK 0 0 0 0 Daniel P. Opperman 0 0 0 0 Daniel B. O'Rourke 0 0 0 0 ------------------------ (15) Shared with family members. 20
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Roderick S. Orr UK 0 0 0 0 Calum M. Osborne UK 0 0 0 0 Robert J. O'Shea 0 0 0 0 Joel D. Ospa 0 0 0 0 Greg M. Ostroff 0 0 0 0 Nigel M. O'Sullivan UK 0 0 0 0 James B. Otness 0 0 0 0 Terence M. O'Toole 0 0 0 0 Brett R. Overacker 0 0 0 0 Todd G. Owens 0 0 0 0 Fumiko Ozawa Japan 0 0 0 0 Robert J. Pace 0 0 0 0 Robert W. Pack UK 0 0 0 0 Helen Paleno 0 0 0 0 Gregory K. Palm 0 0 0 0 Bryant F. Pantano 0 0 0 0 Massimo Pappone Italy 0 0 0 0 James R. Paradise UK 0 0 0 0 Lisa L. Parisi 0 0 0 0 Simon Y. Park 0 0 0 0 Geoffrey M. Parker 0 0 0 0 Archie W. Parnell 200 200(16) 200 200(16) Ketan J. Patel UK 0 0 0 0 Sheila H. Patel 0 0 0 0 Douglas S. Patterson 0 0 0 0 Henry M. Paulson, Jr. 0 0 0 0 Arthur J. Peponis 288 0 288 0 David E. Perlin 0 0 0 0 John M. Perlowski 0 0 0 0 David B. Philip 0 0 0 0 Todd J. Phillips 0 0 0 0 Stephen R. Pierce 0 0 0 0 Philip J. Pifer 0 0 0 0 Steven M. Pinkos 0 0 0 0 Scott M. Pinkus 0 0 0 0 Timothy C. Plaut Germany 0 0 0 0 Carol V. Pledger UK 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 0 0 0 0 Wiet H.M. Pot The Netherlands 0 0 0 0 Michael J. Poulter UK 0 0 0 0 John J. Powers 0 0 0 0 Richard H. Powers 0 0 0 0 Gilberto Pozzi Italy 0 0 0 0 Alberto Pravettoni Italy 0 0 0 0 Michael A. Price 0 0 0 0 Scott S. Prince 0 0 0 0 ------------------------ (16) Shared with family members. 21
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Anthony J. Principato 56 0 56 0 Steven D. Pruett 0 0 0 0 Andrew F. Pyne 0 0 0 0 Kevin A. Quinn 0 0 0 0 Stephen D. Quinn 0 0 0 0 William M. Quinn 0 0 0 0 B. Andrew Rabin 0 0 0 0 Jean Raby Canada 0 0 0 0 John J. Rafter Ireland 0 0 0 0 Jonathan C. Raleigh 0 0 0 0 Dioscoro-Roy I. Ramos Philippines 0 0 0 0 Charlotte P. Ransom UK 0 0 0 0 Michael G. Rantz 0 0 0 0 Krishna S. Rao India 0 0 0 0 Philip A. Raper UK 0 0 0 0 Alan M. Rapfogel 0 0 0 0 Sandy C. Rattray UK 0 0 0 0 Joseph Ravitch 0 0 0 0 Sara E. Recktenwald 0 0 0 0 Girish V. Reddy 0 0 0 0 Nicholas T. Reid UK 0 0 0 0 David Reilly UK 0 0 0 0 Gene Reilly 0 0 0 0 Arthur J. Reimers III 0 0 0 0 Filip A. Rensky 0 0 0 0 Jeffrey A. Resnick 0 0 0 0 Richard J. Revell UK 0 0 0 0 Peter Richards UK 0 0 0 0 Jean-Manuel Richier France 0 0 0 0 Michael J. Richman 0 0 0 0 Thomas S. Riggs III 0 0 0 0 James P. Riley, Jr. 0 0 0 0 Kirk L. Rimer 0 0 0 0 Kimberly E. Ritrievi 0 0 0 0 Louisa G. Ritter 0 0 0 0 Paul M. Roberts UK 0 0 0 0 Richard T. Roberts 8 0 8 0 William M. Roberts 0 0 0 0 Simon M. Robertson UK 0 0 0 0 Juliet A. Robinson UK 0 0 0 0 Nigel C. B. Robinson UK 0 0 0 0 Normann G. Roesch Germany 0 0 0 0 Marina L. Roesler USA/Brazil 0 0 0 0 James H. Rogan 0 0 0 0 J. David Rogers 0 200(17) 0 200(17) John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 ------------------------ (17) Shared with family members. 22
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Eileen P. Rominger 0 0 0 0 Andrew A. Root Canada 0 0 0 0 Pamela P. Root 0 0 0 0 Clifton P. Rose New Zealand/USA 0 0 0 0 Ralph F. Rosenberg 0 0 0 0 David J. Rosenblum 0 0 0 0 Jacob D. Rosengarten 0 0 0 0 Richard J. Rosenstein 0 0 0 0 Ivan Ross 0 0 0 0 Lisa A. Rotenberg 0 0 0 0 Marc A. Rothenberg 0 0 0 0 Stuart M. Rothenberg 0 0 0 0 Michael S. Rotter 0 0 0 0 Thomas A. Roupe 0 0 0 0 Michael S. Rubinoff 0 0 0 0 Paul M. Russo 0 0 0 0 John P. Rustum Ireland/USA 25 0 25 0 Richard M. Ruzika 0 0 0 0 David C. Ryan 0 0 0 0 David M. Ryan Australia 0 0 0 0 Jeri Lynn Ryan 0 0 0 0 John C. Ryan 0 0 0 0 John J. Ryan 0 0 0 0 Michael D. Ryan 0 0 0 0 Pamela S. Ryan 0 1,000 0 1,000 Katsunori Sago Japan 0 0 0 0 Pablo J. Salame Ecuador 0 0 0 0 Roy J. Salameh 0 0 0 0 J. Michael Sanders 0 0 0 0 Allen Sangines-Krause Mexico 212 0 212 0 Richard A. Sapp 0 0 0 0 Neil I. Sarnak 0 0 0 0 Joseph Sassoon Israel 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Tsutomu Sato Japan 240 0 240 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 0 0 0 0 Jonathan S. Savitz 0 0 0 0 Peter Savitz 0 0 0 0 James E. Sawtell UK 0 0 0 0 Josephine Scesney 0 0 0 0 Paul S. Schapira Italy 0 0 0 0 P. Sheridan Schechner 1,000 0 1,000 0 Marcus Schenck Germany 0 0 0 0 Susan J. Scher 0 0 0 0 Gary B. Schermerhorn 0 0 0 0 Stephen M. Scherr 0 0 0 0 Clare R. Scherrer 0 0 0 0 Howard B. Schiller 0 0 0 0 Erich P. Schlaikjer 0 0 0 0 23
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Daniel Schmitz Germany 0 0 0 0 Vivian C. Schneck-Last 0 0 0 0 Jeffrey W. Schroeder 0 0 0 0 Matthew L. Schroeder 0 0 0 0 Antoine Schwartz France 0 0 0 0 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0 Mark Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(18) 0 1,900(18) Peter Scialla 0 0 0 0 Steven M. Scopellite 0 0 0 0 David J. Scudellari 0 0 0 0 John A. Sebastian 0 0 0 0 Peter A. Seccia 0 0 0 0 Charles B. Seelig, Jr. 0 0 0 0 Peter A. Seibold 0 0 0 0 Karen D. Seitz 0 0 0 0 Peter D. Selman UK 0 0 0 0 Anik Sen UK 0 0 0 0 Randolph Sesson, Jr. 0 0 0 0 Steven M. Shafran 0 0 0 0 Lisa M. Shalett 0 0 0 0 Richard S. Sharp UK 0 0 0 0 John P. Shaughnessy 0 0 0 0 Daniel M. Shefter 0 0 0 0 David G. Shell 0 0 0 0 Heather K. Shemilt Canada 0 0 0 0 James M. Sheridan 0 0 0 0 Richard G. Sherlund 0 0 0 0 Michael S. Sherwood UK 0 0 0 0 Masaru Shibata Japan 0 0 0 0 David A. Shiffman 0 0 0 0 Dong Kee Shin South Korea 0 0 0 0 Kunihiko Shiohara Japan 0 0 0 0 Abraham Shua 0 0 0 0 Susan E. Sidd 0 0 0 0 Michael H. Siegel 0 0 0 0 Leslie C. Sillcox 0 0 0 0 Ralph J. Silva 0 0 0 0 Harry Silver 0 0 0 0 Howard A. Silverstein 0 0 0 0 Gavin Simms UK 0 0 0 0 Victor R. Simone, Jr. 0 0 0 0 David T. Simons 0 0 0 0 Christine A. Simpson 0 0 0 0 David A. Simpson UK 0 0 0 0 Dinakar Singh 0 0 0 0 Ravi M. Singh 0 0 0 0 ------------------------ (18) Shared with family members. 24
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Ravi Sinha India/USA 0 0 0 0 Edward M. Siskind 0 0 0 0 Christian J. Siva-Jothy UK 0 0 0 0 Mark F. Slaughter 0 0 0 0 Guy C. Slimmon UK 0 0 0 0 Jeffrey S. Sloan 0 0 0 0 Linda J. Slotnick 0 0 0 0 Cody J. Smith 0 1,000(19) 0 1,000(19) Derek S. Smith 0 0 0 0 Michael M. Smith 0 0 0 0 Sarah E. Smith UK 0 0 0 0 Trevor A. Smith UK 0 0 0 0 John E. Smollen 0 0 0 0 Jonathan S. Sobel 0 0 0 0 David M. Solomon 0 0 0 0 Judah C. Sommer 0 0 0 0 Chong Hon Andrew Song 0 0 0 0 Theodore T. Sotir 0 0 0 0 Sergio E. Sotolongo 0 0 0 0 Vickrie C. South 0 0 0 0 Daniel L. Sparks 0 0 0 0 Nicholas J. Spencer UK 0 0 0 0 Claudia Spiess Switzerland 0 0 0 0 Marc A. Spilker 0 0 0 0 Howard Q. Spooner UK 0 0 0 0 Joseph F. Squeri 0 0 0 0 Alec P. Stais 0 0 0 0 Christoph W. Stanger Austria 0 0 0 0 Daniel W. Stanton 0 0 0 0 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 0 0 0 0 Cathrine Steck 0 0 0 0 Fredric E. Steck 0 0 0 0 Robert K. Steel 0 0 0 0 Laurence Stein South Africa 0 0 0 0 Joseph P. Stevens 0 0 0 0 Chase O. Stevenson 0 0 0 0 Richard J. Stingi 0 0 0 0 Raymond S. Stolz 0 0 0 0 Timothy T. Storey Canada 0 0 0 0 George C. Strachan 0 0 0 0 Patrick M. Street UK 0 0 0 0 Raymond B. Strong, III 0 0 0 0 Steven H. Strongin 0 0 0 0 Nobumichi Sugiyama Japan 0 0 0 0 Christopher P. Sullivan USA/Ireland 0 0 0 0 Patrick Sullivan 0 0 0 0 ------------------------ (19) Shared with family members. 25
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Johannes R. Sulzberger Austria 0 0 0 0 Hsueh J. Sung Taiwan 0 0 0 0 Howard B. Surloff 0 0 0 0 Richard J. Sussman 0 0 0 0 Peter D. Sutherland S.C. Ireland 0 0 0 0 Watanan Suthiwartnarueput Thailand 0 0 0 0 Gary J. Sveva 0 0 0 0 Eric S. Swanson 0 0 0 0 Gene T. Sykes 0 0 0 0 Morgan C. Sze 0 0 0 0 Shahriar Tadjbakhsh 0 0 0 0 Kunio Tahara Japan 0 0 0 0 Thomas P. Takacs 972 0 972 0 Ronald K. Tanemura UK/USA 0 0 0 0 Kui F. Tang China (PRC) 0 0 0 0 Caroline H. Taylor UK 0 0 0 0 Greg W. Tebbe 0 0 0 0 Roland W. Tegeder Germany 0 0 0 0 Thomas D. Teles 0 0 0 0 David H. Tenney 0 0 0 0 Mark R. Tercek 0 0 0 0 Donald F. Textor 0 0 0 0 John L. Thornton 0 0 0 0 Stephen M. Thurer 0 0 0 0 Nicolas F. Tiffou France 0 0 0 0 Elena B. Titova Russian Federation 0 0 0 0 Daisuke Toki Japan 0 0 0 0 Peter K. Tomozawa 0 0 0 0 Massimo Tononi Italy 0 0 0 0 Brian J. Toolan 0 0 0 0 Serena Torielli Italy 0 0 0 0 John R. Tormondsen 0 0 0 0 Frederick Towfigh 0 0 0 0 John L. Townsend III 0 0 0 0 Mark J. Tracey UK 0 0 0 0 Stephen S. Trevor 0 0 0 0 Byron D. Trott 0 0 0 0 Michael A. Troy 0 0 0 0 Daniel Truell UK 0 0 0 0 Donald J. Truesdale 0 0 0 0 Irene Y. Tse Hong Kong 0 0 0 0 Robert B. Tudor III 0 0 0 0 Thomas E. Tuft 0 0 0 0 John Tumilty UK 0 0 0 0 Barry S. Turkanis 0 0 0 0 Malcolm B. Turnbull Australia 0 0 0 0 Christopher H. Turner 0 0 0 0 Gareth N. Turner Canada 0 0 0 0 Greg A. Tusar 0 0 0 0 26
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Eiji Ueda Japan 0 0 0 0 Scott B. Ullem 0 0 0 0 Kaysie P. Uniacke 0 0 0 0 Can Uran 0 0 0 0 John E. Urban 0 0 0 0 Lucas van Praag UK 0 0 0 0 Hugo H. Van Vredenburch The Netherlands 0 0 0 0 Frederick G. Van Zijl 0 0 0 0 Lee G. Vance 0 0 0 0 Ashok Varadhan 0 0 0 0 Corrado P. Varoli Canada 0 0 0 0 John J. Vaske 0 0 0 0 Philip J. Venables UK 0 0 0 0 Robin A. Vince UK 0 0 0 0 David A. Viniar 0 0 0 0 Andrea A. Vittorelli Italy 0 0 0 0 Alejandro Vollbrechthausen Mexico 0 0 0 0 Barry S. Volpert 20 0 20 0 Casper W. Von Koskull Finland 0 0 0 0 David H. Voon 0 0 0 0 Robert T. Wagner 0 0 0 0 John E. Waldron 0 0 0 0 Christopher J. Wales UK 0 0 0 0 George H. Walker IV 0 10(20) 0 10(20) Joann B. Walker 0 0 0 0 Thomas B. Walker III 0 0 0 0 Robert P. Wall 0 0 0 0 Steven A. Wallace UK 0 0 0 0 Berent A. Wallendahl Norway 0 0 0 0 David R. Walton UK 0 0 0 0 Hsueh-Ming Wang 0 0 0 0 Theodore T. Wang China (PRC) 0 0 0 0 Patrick J. Ward 0 0 0 0 Michael W. Warren UK 0 0 0 0 Peter J. Warren UK 0 0 0 0 Haruko Watanuki Japan 0 0 0 0 Jerry T. Wattenberg 0 0 0 0 Mark K. Weeks UK 0 0 0 0 David M. Weil 0 0 0 0 Theodor Weimer Germany 0 0 0 0 John S. Weinberg 0 0 0 0 Peter A. Weinberg 0 0 0 0 Gregg S. Weinstein 0 0 0 0 Scott R. Weinstein 0 0 0 0 Mark S. Weiss 0 0 0 0 Richard A. Weissmann 0 0 0 0 George W. Wellde, Jr. 0 0 0 0 ------------------------ (20) Shared with family members. 27
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Christopher S. Wendel 0 0 0 0 Martin M. Werner Mexico 0 0 0 0 Richard T. Wertz 0 0 0 0 Lance N. West 0 0 0 0 Matthew Westerman UK 0 0 0 0 Barbara A. White 0 0 0 0 Eileen M. White 0 0 0 0 Melanie J. White UK 0 0 0 0 William Wicker 0 0 0 0 A. Carver Wickman 0 0 0 0 Elisha Wiesel 0 0 0 0 C. Howard Wietschner 0 0 0 0 David D. Wildermuth 0 0 0 0 Edward R. Wilkinson 83 0 83 0 Kevin L. Willens 0 0 0 0 Susan A. Willetts 0 0 0 0 Anthony G. Williams UK 0 0 0 0 Christopher G. Williams UK 0 0 0 0 Gary W. Williams 0 0 0 0 Meurig R. Williams UK 0 0 0 0 Todd A. Williams 90 0 90 0 John S. Willian 0 0 0 0 Kenneth W. Willman 0 0 0 0 Keith R. Wills UK 0 0 0 0 Deborah B. Wilkens Germany/USA 0 0 0 0 Andrew F. Wilson New Zealand 0 0 0 0 Kendrick R. Wilson III 0 0 0 0 Kurt D. Winkelmann 0 0 0 0 Jon Winkelried 0 0 0 0 Steven J. Wisch 0 0 0 0 Michael S. Wishart 0 0 0 0 Samuel J. Wisnia France 0 0 0 0 Richard E. Witten 0 0 0 0 Alexander D. Wohl 0 0 0 0 William H. Wolf, Jr. 0 0 0 0 Melinda B. Wolfe 0 0 0 0 Tracy R. Wolstencroft 0 0 0 0 Jon A. Woodruf 0 0 0 0 Neil J. Wright UK 0 0 0 0 Denise A. Wyllie UK 0 0 0 0 Zi Wang Xu Canada/China (PRC) 0 0 0 0 Richard A. Yacenda 0 0 0 0 Tetsufumi Yamakawa Japan 0 0 0 0 Yasuyo Yamazaki Japan 0 0 0 0 Anne Yang 0 0 0 0 Danny O. Yee 0 0 0 0 Shinichi Yokote Japan 0 0 0 0 Jaime E. Yordan 0 0 0 0 W. Thomas York, Jr. 0 0 0 0 28
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 ITEM 6 SOLE SHARED SOLE SHARED CITIZENSHIP VOTING VOTING DISPOSITIVE DISPOSITIVE (UNITED STATES POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES -------------------------- ---------------- --------- --------- ----------- ----------- Wassim G. Younan Lebanon 0 0 0 0 Paul M. Young 0 0 0 0 William J. Young 0 0 0 0 Sanaz Zaimi UK 0 0 0 0 Michael J. Zamkow 0 25(21) 0 25(21) Peter J. Zangari 0 0 0 0 Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 0 0 0 0 Gregory H. Zehner 0 0 0 0 Jide J. Zeitlin 0 0 0 0 Gregory Zenna 0 0 0 0 Yi Kevin Zhang China (PRC) 0 0 0 0 Joan H. Zief 0 0 0 0 John W. Ziegler 0 0 0 0 Joseph R. Zimmel 0 0 0 0 James P. Ziperski 0 0 0 0 Barry L. Zubrow 0 0 0 0 Mark A. Zurack 0 0 0 0 Shares held by 72 private N/A 0 1,265,201 0 1,265,201 charitable foundations established by 72 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(22) --------------------- (21) Shared with family members. (22) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 29
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- TRUSTS 2002 Avi M. Nash Grantor Retained Annuity Trust 0 0 0 0 2002 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2003 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2003 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 2004 Mary Ann Casati Grantor Retained Annuity Trust 0 0 0 0 2004 Scott S. Prince Grantor Retained Annuity Trust 0 0 0 0 2004 Danny O. Yee Grantor Retained Annuity Trust 0 0 0 0 The Abby Joseph Cohen 2000 Family Trust 0 0 0 0 The Abby Joseph Cohen 2002 Annuity Trust II 0 0 0 0 The Abby Joseph Cohen 2003 Annuity Trust I 0 0 0 0 The Abby Joseph Cohen 2003 Annuity Trust II 0 0 0 0 The Adina R. Lopatin 2000 Trust 0 0 0 0 The Alexander H. Witten 2000 Trust 0 0 0 0 The Alexander I. Berlinski 2000 Trust 0 0 0 0 The Alexander Litzenberger Remainder Trust 0 0 0 0 The Alexandra D. Steel 2000 Trust The Alexis Blood 2000 Trust The Alyssa Blood 2000 Trust 0 0 0 0 The Amanda Liann Mead 2000 Trust 0 0 0 0 Anahue Trust(23) Jersey 0 0 0 0 Andrew L. Fippinger-Millennium Trust(24) 0 0 0 0 The Andrew M. Alper 2002 Annuity Trust II 0 0 0 0 The Andrew M. Alper 2003 Annuity Trust I 0 0 0 0 -------------------- (23) Created by Andrew A. Chisholm. (24) Created by Ann F. Kaplan. 30
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Andrew M. Alper 2003 Annuity Trust II 0 0 0 0 The Andrew M. Gordon 2000 Family Trust 0 0 0 0 The Anne R. Witten 2000 Trust 0 0 0 0 The Anne Sullivan Wellde 2000 Trust 0 0 0 0 The Anthony D. Lauto 2000 Family Trust 0 0 0 0 The Anthony D. Lauto 2002 Annuity Trust II 0 0 0 0 The Anthony D. Lauto 2003 Annuity Trust I 0 0 0 0 The Anthony D. Lauto 2003 Annuity Trust II 0 0 0 0 The Arthur J. Reimers, III Defective Trust 2000 Connecticut 0 0 0 0 The Avi M. Nash 2000 Family Trust 0 0 0 0 The Bari Marissa Schwartz 2000 Trust 0 0 0 0 Barry A. Kaplan 2000 Family Trust 0 0 0 0 Barry A. Kaplan 2002 GRAT 0 0 0 0 Barry A. Kaplan 2003 GRAT 0 0 0 0 The Barry L. Zubrow 2000 Family Trust 0 0 0 0 The Barry L. Zubrow 2002 Annuity Trust II 0 0 0 0 Beller 2002 GRAT 0 0 0 0 Beller 2003 GRAT 0 0 0 0 Beller 2003 Family Trust 0 0 0 0 The Beller/Moses Trust 0 0 0 0 The Benjamin H. Sherlund 2000 Trust 0 0 0 0 The Benjamin Kraus 2000 Trust 0 0 0 0 The Bradford C. Koenig 2001 Family Trust 0 0 0 0 The Bradley Abelow Family 2000 Trust 0 0 0 0 The Brian Patrick Minehan 2001 Trust(25) 0 0 0 0 The Caceres Novogratz Family Trust 0 0 0 0 The Carlos A. Cordeiro Trust 0 0 0 0 The Charlotte Steel 2000 Trust 0 0 0 0 The Charlotte Textor 2000 Trust 0 0 0 0 The Chatham Path Trust(26) 0 0 0 0 -------------------------- (25) Created by E. Gerald Corrigan. (26) Created by Peter G. C. Mallinson. 31
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Christopher A. Cole 2000 Family Trust 0 0 0 0 The Christopher A. Cole 2002 Annuity Trust II 0 0 0 0 The Christopher A. Cole 2003 Annuity Trust I 0 0 0 0 The Christopher A. Cole 2003 Annuity Trust II 0 0 0 0 The Christopher K. Norton 2000 Family Trust 0 0 0 0 The Christopher Palmisano Remainder Trust(27) 0 0 0 0 The Christopher Ryan Tortora 2000 Trust 0 0 0 0 The Cody J Smith 2000 Family Trust 0 0 0 0 The Cody J Smith 2002 Annuity Trust II 0 0 0 0 The Connie K. Duckworth 2000 Family Trust 0 0 0 0 Dangui Trust(28) 0 0 0 0 The Daniel Alexander Schwartz 2000 Trust 0 0 0 0 The Daniel M. Neidich 2002 Annuity Trust II 0 0 0 0 The Daniel M. Neidich 2003 Annuity Trust I 0 0 0 0 The Daniel M. Neidich 2003 Annuity Trust II 0 0 0 0 The Daniel W. Stanton 2002 Annuity Trust II 0 0 0 0 The Daniel W. Stanton II 2000 Trust 0 0 0 0 The Danny O. Yee Trust 0 0 0 0 The David B. Ford 2002 Annuity Trust dtd as of 6/26/2002 Pennsylvania 0 0 0 0 The David B. Ford 2003 Annuity Trust dtd as of 6/26/2003 Pennsylvania 0 0 0 0 The David B. Heller 2000 Family Trust 0 0 0 0 The David G. Lambert 2000 Family Trust 0 0 0 0 The David G. Lambert 2002 Annuity Trust II 0 0 0 0 The David L. Henle 2000 Family Trust 0 0 0 0 ------------------ (27) Created by Robert H. Litzenberger. (28) Created by Emmanuel Roman. 32
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The David L. Henle 2002 Annuity Trust II 0 0 0 0 The David L. Henle 2003 Annuity Trust I 0 0 0 0 The David L. Henle 2003 Annuity Trust II 0 0 0 0 The David M. Baum Family 2000 Trust New Jersey 0 0 0 0 The David Viniar 2002 Annuity Trust II 0 0 0 0 The David Viniar 2003 Annuity Trust I 0 0 0 0 The David Viniar 2003 Annuity Trust II 0 0 0 0 The David W. Blood 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2002 Annuity Trust II 0 0 0 0 The Donald F. Textor 2003 Annuity Trust I 0 0 0 0 The Donald F. Textor 2003 Annuity Trust II 0 0 0 0 The Douglas W. Kimmelman Trust 0 0 0 0 The E. Gerald Corrigan 2003 Annuity Trust I 0 0 0 0 The Eaddy Adele Kiernan 2000 Trust 0 0 0 0 The Edward C. Forst 2000 Family Trust 0 0 0 0 The Edward C. Forst 2002 Annuity Trust II 0 0 0 0 The Edward Scott Mead 2001 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2002 Annuity Trust II 0 0 0 0 The Edward Scott Mead 2003 Annuity Trust I 0 0 0 0 The Edward Scott Mead 2003 Annuity Trust II 0 0 0 0 Eff Warren Martin 2000 Children's Trust California 0 0 0 0 The Elizabeth Anne Corrigan 2000 Trust 0 0 0 0 The Elizabeth H. Coulson 2000 Trust 0 0 0 0 The Elizabeth L. Heller 2000 Trust 0 0 0 0 33
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Elizabeth Lin Mead 2000 Trust 0 0 0 0 The Elizabeth M. Stanton 2000 Trust 0 0 0 0 The Elizabeth Steel 2000 Trust 0 0 0 0 The Ellie Dorit Neustein 2000 Trust 0 0 0 0 The Emily Austen Katz 2000 Trust 0 0 0 0 The Emily Stecher 2000 Trust 0 0 0 0 The Emma M.L. Mead 2000 Trust 0 0 0 0 The Eric Fithian 2000 Trust(29) 0 0 0 0 The Erin Marie Tormondsen 2000 Trust 0 0 0 0 The Esta Eiger Stecher 2002 Annuity Trust II 0 0 0 0 The Esta Eiger Stecher 2003 Annuity Trust I 0 0 0 0 The Esta Eiger Stecher 2003 Annuity Trust II 0 0 0 0 The Evans Trust(30) 0 0 0 0 The Francis J. Ingrassia 2000 Family Trust 0 0 0 0 The Francis J. Ingrassia 2002 Annuity Trust II 0 0 0 0 The Frank L. Coulson III 2000 Trust 0 0 0 0 The Fredric E. Steck 2000 Family Trust 0 0 0 0 The Fredric E. Steck 2002 Annuity Trust II 0 0 0 0 The Fredric E. Steck 2003 Annuity Trust I 0 0 0 0 The Fredric E. Steck 2003 Annuity Trust II 0 0 0 0 Gary D. Cohn 2000 Family Trust 0 0 0 0 The Gary W. Williams 2001 Trust 0 0 0 0 The Gene Tiger Sykes 2001 Family Trust 0 0 0 0 The Gene Tiger Sykes 2002 Annuity Trust II 0 0 0 0 The Gene Tiger Sykes 2003 Annuity Trust I 0 0 0 0 The Gene Tiger Sykes 2003 Annuity Trust II 0 0 0 0 The Geoffrey T. Grant 2000 Family Trust 0 0 0 0 ------------------ (29) Created by David A. Viniar. (30) Created by W. Mark Evans. 34
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The George H. Walker 2000 Family Trust 0 0 0 0 The George H. Walker 2002 Annuity Trust II 0 0 0 0 The George W. Wellde, Jr. 2002 Annuity Trust II 0 0 0 0 The George William Wellde III 2000 Trust 0 0 0 0 Ghez 2000 GRAT 0 0 0 0 Ghez 2000 Non-GST-Exempt Trust 0 0 0 0 The Girish V. Reddy 2001 Trust 0 0 0 0 The Girish V. Reddy Trust 0 0 0 0 The Goldenberg 2000 Family Trust 0 0 0 0 The Greg M. Ostroff 2000 Family Trust 0 0 0 0 The Gregory D. Cohen 2000 Trust 0 0 0 0 The Gregory H. Zehner 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2000 Family Trust 0 0 0 0 The Gregory K. Palm 2002 Annuity Trust II 0 0 0 0 The Gregory K. Palm 2003 Annuity Trust I 0 0 0 0 The Gregory K. Palm 2003 Annuity Trust II 0 0 0 0 The Guapulo Trust(31) Jersey 0 0 0 0 The Howard A. Silverstein 2000 Family Trust 0 0 0 0 The Howard A. Silverstein 2002 Annuity Trust II 0 0 0 0 The Howard A. Silverstein 2003 Annuity Trust I 0 0 0 0 The Howard A. Silverstein 2003 Annuity Trust II 0 0 0 0 The Isabelle M.L. Mead 2000 Trust 0 0 0 0 The J. David Rogers 2002 Annuity Trust II 0 0 0 0 The J. David Rogers 2003 Annuity Trust I 0 0 0 0 The J. David Rogers 2003 Annuity Trust II 0 0 0 0 ---------------------- (31) Created by Erland S. Karlsson. 35
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The James Alexander Mead 2000 Trust 0 0 0 0 The James M. Sheridan Shares Trust 0 0 0 0 The James M. Sheridan Trust 0 0 0 0 The James Nicholas Katz 2000 Trust 0 0 0 0 James P. Riley, Jr. 2000 Family Trust 0 0 0 0 The James P. Riley, Jr. 2002 Family GST Trust 0 0 0 0 The Jason Kraus 2000 Trust UK 0 0 0 0 The Jason William Tortora 2000 Trust 0 0 0 0 The Jeffrey D. Witten 2000 Trust 0 0 0 0 The Jennifer Lauren Alper 2000 Trust 0 0 0 0 JG 2000 Trust(32) 0 0 0 0 JG 2000 Trust (continuing trust)(32) 0 0 0 0 JG 2003 GRAT(32) 0 0 0 0 JG 2003 Family Trust(32) 0 0 0 0 The John J. Powers 2000 Family Trust 0 0 0 0 The John O. Downing 2000 Family Trust 0 0 0 0 The John O. Downing 2002 Annuity Trust II 0 0 0 0 The John O. Downing 2003 Annuity Trust I 0 0 0 0 The John P. Curtin, Jr. 2000 Family Trust 0 0 0 0 The John P. Curtin, Jr. 2001 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2002 Annuity Trust II 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust I 0 0 0 0 The John R. Tormondsen 2003 Annuity Trust II 0 0 0 0 The John R. Tormondsen, Jr. 2000 Trust 0 0 0 0 The John S. Weinberg 2000 Family Trust 0 0 0 0 The John S. Weinberg 2002 Annuity Trust II 0 0 0 0 --------------------- (32) Created by Jacob D. Goldfield. 36
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The John S. Weinberg 2003 Annuity Trust I 0 0 0 0 The John S. Weinberg 2003 Annuity Trust II 0 0 0 0 The Jon R. Aisbitt Trust Jersey 0 0 0 0 The Jonathan G. Neidich 2000 Trust 0 0 0 0 The Jonathan L. Cohen 2002 Annuity Trust I 0 0 0 0 The Jonathan M. Lopatin 2002 Annuity Trust II 0 0 0 0 The Jordan Viniar 2000 Trust 0 0 0 0 The Joseph Della Rosa 2000 Family Trust 0 0 0 0 The Joseph Della Rosa 2002 Annuity Trust II 0 0 0 0 The Joseph H. Gleberman 2000 Family Trust 0 0 0 0 The Joseph H. Gleberman 2002 Annuity Trust I 0 0 0 0 The Karen Barlow Corrigan 2000 Trust 0 0 0 0 The Karen Rebecca Alper 2000 Trust 0 0 0 0 The Karsten Moller & Barbara Kahn-Moller Trust Jersey 0 0 0 0 The Katherine A. M. Stanton 2000 Trust 0 0 0 0 The Katheryn C. Coulson 2000 Trust 0 0 0 0 The Kathryn Margaret Wellde 2000 Trust 0 0 0 0 The Kelsey Fithian 2000 Trust(33) 0 0 0 0 The Kenneth Litzenberger Remainder Trust 0 0 0 0 The Kevin W. Kennedy 2000 Family Trust 0 0 0 0 The Kevin W. Kennedy 2001 Siblings Trust 0 0 0 0 The Kevin W. Kennedy 2002 Annuity Trust III 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust I 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust II 0 0 0 0 The Kevin W. Kennedy 2003 Annuity Trust III 0 0 0 0 -------------------- (33) Created by David A. Viniar. 37
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Kimberly Lynn Macaione 2000 Trust(34) 0 0 0 0 The Kimberly R. Textor 2000 Trust 0 0 0 0 The Kipp M. Nelson Trust 0 0 0 0 The Kuala Trust(35) Jersey 0 0 0 0 The Kyle F. Textor 2000 Trust The Lauren Schiller 2000 Trust 0 0 0 0 The Lawrence R. Buchalter 2000 Family Trust 0 0 0 0 The Lawrence R. Buchalter 2002 Annuity Trust II 0 0 0 0 The Lee G. Vance 2000 Family Trust 0 0 0 0 The Leslie C. Sillcox 2003 Annuity Trust I 0 0 0 0 The Leslie C. Sillcox 2003 Annuity Trust II 0 0 0 0 The Leslie C. Tortora 2002 Annuity Trust II 0 0 0 0 Lloyd C. Blankfein 2000 Family Trust 0 0 0 0 The Lloyd C. Blankfein 2002 Annuity Trust I 0 0 0 0 The Louise Rice Townsend 2000 Trust 0 0 0 0 M. Roch Hillenbrand Trust f/b/o C. Justin Hillenbrand New Jersey 0 0 0 0 M. Roch Hillenbrand Trust f/b/o Molly D. Hillenbrand New Jersey 0 0 0 0 The Mallory G. Neidich 2000 Trust 0 0 0 0 The Marc A. Spilker 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Family Trust 0 0 0 0 The Mark A. Zurack 2000 Issue Trust 0 0 0 0 The Mark A. Zurack 2002 Annuity Trust II 0 0 0 0 The Mark A. Zurack 2003 Annuity Trust I 0 0 0 0 Mark Dehnert Living Trust Illinois 0 0 0 0 The Mark Tercek 2000 Family Trust 0 0 0 0 ----------------- (34) Created by Frank L. Coulson, Jr. (35) Created by Sylvain M. Hefes. 38
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Mark Tercek 2002 Annuity Trust II 0 0 0 0 The Mark Tercek 2003 Annuity Trust I 0 0 0 0 Marks 2000 (continuing trust) 0 0 0 0 The Mary Agnes Reilly Kiernan 2000 Trust 0 0 0 0 The Mary Ann Casati Trust 0 0 0 0 The Matthew D. Rogers 2000 Trust 0 0 0 0 The Maya Bettina Linden 2000 Trust 0 0 0 0 Melissa Jane Minehan 2001 Trust(36) 0 0 0 0 The Merritt Moore Townsend 2000 Trust 0 0 0 0 The Mesdag Family Trust Delaware 0 0 0 0 The Michael A. Price 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2000 Family Trust 0 0 0 0 The Michael D. Ryan 2002 Annuity Trust II 0 0 0 0 The Michael D. Ryan 2003 Annuity Trust I 0 0 0 0 The Michael J. Zamkow 2000 Family Trust 0 0 0 0 The Michael J. Zamkow 2001 Trust 0 0 0 0 The Michael J. Zamkow 2002 Annuity Trust II 0 0 0 0 The Michael Stecher 2000 Trust 0 0 0 0 The Milton R. Berlinski 2002 Annuity Trust II 0 0 0 0 The Milton R. Berlinski 2003 Annuity Trust I 0 0 0 0 The Milton R. Berlinski 2003 Annuity Trust II 0 0 0 0 The Milton R. and Jena M. Berlinski 2003 Life Insurance Trust 0 0 0 0 The Mossavar-Rahmani 2000 Family Trust 0 0 0 0 Murphy 2000 (continuing trust) (37) 0 0 0 0 Murphy 2002 GRAT(37) 0 0 0 0 ----------------- (36) Created by E. Gerald Corrigan. (37) Created by Thomas S. Murphy, Jr. 39
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Natalie Cailyn Rogers 2000 Trust 0 0 0 0 The Nicole Schiller 2000 Trust 0 0 0 0 The Patrick J. Ward 2001 Trust 0 0 0 0 The Peter C. Gerhard 2000 Family Trust 0 0 0 0 The Peter C. Gerhard 2002 Annuity Trust II 0 0 0 0 The Peter C. Gerhard 2003 Annuity Trust I 0 0 0 0 The Peter C. Gerhard 2003 Annuity Trust II 0 0 0 0 The Peter D. Kiernan, III 2002 Annuity Trust II 0 0 0 0 The Peter Kiernan IV 2000 Trust 0 0 0 0 The Peter S. Kraus 2002 Annuity Trust II 0 0 0 0 The Peter S. Kraus 2003 Annuity Trust I 0 0 0 0 The Peter S. Kraus 2003 Annuity Trust II 0 0 0 0 The Philip D. Murphy 2000 Family Trust 0 0 0 0 The Philip D. Murphy 2002 Annuity Trust I 0 0 0 0 The Philip D. and Tammy S. Murphy 2002 Life Insurance Trust 0 0 0 0 The Philip Darivoff 2002 Annuity Trust II 0 0 0 0 The Philip Darivoff 2002 Family Trust 0 0 0 0 The Rachel M. Darivoff 2000 Trust 0 0 0 0 The Ralph F. Rosenberg 2000 Family Trust 0 0 0 0 The Ralph F. Rosenberg 2002 Annuity Trust II 0 0 0 0 The Ralph F. Rosenberg 2003 Annuity Trust I 0 0 0 0 The Ralph F. Rosenberg 2003 Annuity Trust II 0 0 0 0 Randal M. Fippinger-Millennium Trust(38) 0 0 0 0 The Randolph L. Cowen 2000 Family Trust 0 0 0 0 Rayas Trust(39) Jersey 0 0 0 0 ----------------- (38) Created by Ann F. Kaplan. (39) Created by Emmanuel Roman. 40
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Rebecca Viniar 2000 Trust 0 0 0 0 The Richard A. Friedman 2002 Annuity Trust I 0 0 0 0 The Richard A. Friedman 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2000 Family Trust 0 0 0 0 The Richard A. Sapp 2002 Annuity Trust I 0 0 0 0 The Richard A. Sapp 2003 Annuity Trust I 0 0 0 0 The Richard E. Witten 2002 Annuity Trust II 0 0 0 0 The Richard E. Witten 2003 Annuity Trust I 0 0 0 0 The Richard E. Witten 2003 Annuity Trust II 0 0 0 0 The Richard G. Sherlund 2002 Annuity Trust I 0 0 0 0 Robert A. Fippinger, Jr. Millennium Trust(40) 0 0 0 0 The Robert B. Litterman 2000 Family Trust 0 0 0 0 The Robert B. Litterman 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2000 Family Trust 0 0 0 0 The Robert B. Morris III 2002 Annuity Trust II 0 0 0 0 The Robert B. Morris III 2003 Annuity Trust I 0 0 0 0 The Robert B. Morris III 2003 Annuity Trust II 0 0 0 0 The Robert J. Hurst 2000 Family Trust 0 0 0 0 The Robert J. Hurst 2002 Annuity Trust II 0 0 0 0 The Robert J. Hurst 2003 Annuity Trust I 0 0 0 0 The Robert J. Hurst 2003 Annuity Trust II 0 0 0 0 The Robert J. Katz 2002 Annuity Trust II 0 0 0 0 The Robert J. Katz 2003 Annuity Trust I 0 0 0 0 The Robert J. Katz 2003 Annuity Trust II 0 0 0 0 ---------------------- (40) Created by Ann F. Kaplan. 41
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Robert J. O'Shea 2000 Family Trust 0 0 0 0 The Robert J. O'Shea 2002 Annuity Trust II 0 0 0 0 The Robert J. O'Shea 2003 Annuity Trust I 0 0 0 0 The Robert J. O'Shea 2003 Annuity Trust II 0 0 0 0 The Robert J. Pace 2000 Family Trust 0 0 0 0 The Robert J. Pace 2002 Annuity Trust I 0 0 0 0 The Robert J. Pace 2003 Annuity Trust I 0 0 0 0 The Robert J. Pace 2003 Annuity Trust II 0 0 0 0 The Robert K. Steel 2002 Annuity Trust II 0 0 0 0 The Robert K. Steel 2003 Annuity Trust I 0 0 0 0 The Robert K. Steel 2003 Annuity Trust II 0 0 0 0 Robin Neustein 2002 Annuity Trust 0 0 0 0 Robin Neustein 2003 Annuity Trust 0 0 0 0 The Samantha Schiller 2000 Trust 0 0 0 0 The Sarah B. Lopatin 2000 Trust 0 0 0 0 The Sarah M. Darivoff 2000 Trust 0 0 0 0 The Sarah Rose Berlinski 2000 Trust 0 0 0 0 The Scott B. Kapnick 2000 Family Trust 0 0 0 0 The Scott B. Kapnick 2002 Annuity Trust I 0 0 0 0 The Scott B. Kapnick 2003 Annuity Trust I 0 0 0 0 Scott M. Pinkus 2000 Family Trust New Jersey 0 0 0 0 The Scott S. Prince Trust 0 0 0 0 The Sharmin Mossavar-Rahmani 2002 Annuity Trust I 0 0 0 0 The Sharmin Mossavar-Rahmani 2003 Annuity Trust I 0 0 0 0 The Stephen M. Neidich 2000 Trust 0 0 0 0 42
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- The Steven J. Wisch 2001 Family Trust 0 0 0 0 The Steven J. Wisch 2003 Annuity Trust I 0 0 0 0 The Steven M. Heller, Jr. 2000 Trust 0 0 0 0 The Steven T. Mnuchin 2000 Family Trust 0 0 0 0 The Steven T. Mnuchin 2002 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2003 Annuity Trust I 0 0 0 0 The Steven T. Mnuchin 2003 Annuity Trust II 0 0 0 0 The Stuart Mark Rothenberg 2000 Family Trust 0 0 0 0 The Stuart Mark Rothenberg 2002 Annuity Trust II 0 0 0 0 The Stuart Mark Rothenberg 2003 Annuity Trust I 0 0 0 0 The Stuart Mark Rothenberg 2003 Annuity Trust II 0 0 0 0 The Suzanne E. Cohen 2000 Trust 0 0 0 0 The Terence M. O' Toole 2000 Family Trust 0 0 0 0 The Terence M. O' Toole 2002 Annuity Trust I 0 0 0 0 The Tess Augusta Linden 2000 Trust 0 0 0 0 The Thomas J. Healey 2001 Annuity Trust New Jersey 0 0 0 0 The Thomas J. Healey 2002 Annuity Trust 0 0 0 0 The Thomas J. Healey 2003 Annuity Trust New Jersey 0 0 0 0 The Thomas J. Healey 2003 Annuity Trust II New Jersey 0 0 0 0 The Thomas K. Montag 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2000 Family Trust 0 0 0 0 The Tracy Richard Wolstencroft 2002 Annuity Trust I 0 0 0 0 The Tracy Richard Wolstencroft 2003 Annuity Trust I 0 0 0 0 Trust for the benefit of David Ford, Jr. under Indenture of Trust B of David B. Ford dated 6/16/00 Pennsylvania 0 0 0 0 43
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- Trust for the benefit of Jamie Ford under Indenture of Trust B of David B. Ford dated as of 6/16/00 Pennsylvania 0 0 0 0 Trust for the benefit of Megan H. Hagerty u/a DTD 3/26/01(41) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 5, 2002(41) 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d March 26, 2003(41) New Jersey 0 0 0 0 Trust f/b/o Megan H. Hagerty u/a/d June 13, 2003(41) New Jersey Trust for the benefit of Thomas Jeremiah Healey u/a DTD 3/26/01 New Jersey 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d June 5, 2002 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d March 26, 2003 New Jersey 0 0 0 0 Trust f/b/o Thomas Jeremiah Healey u/a/d June 13, 2003 New Jersey 0 0 0 0 The Unicorn Trust(42) UK 0 0 0 0 Vyrona Trust(43) Jersey 0 0 0 0 The William C. Sherlund 2000 Trust 0 0 0 0 The William Keith Litzenberger Remainder Trust 0 0 0 0 Zachariah Cobrinik 2001 Family Trust 0 0 0 0 The Zachariah Cobrinik Family 2000 Trust 0 0 0 0 Zachariah Cobrinik 2002 Annuity Trust 0 0 0 0 Zachariah Cobrinik 2003 Annuity Trust 0 0 0 0 PARTNERSHIPS ALS Investment Partners, L.P.(44) Delaware 0 0 0 0 Beech Associates, L.P.(45) Delaware 0 0 0 0 Crestley, L.P.(46) Delaware 0 0 0 0 Greenley Partners, L.P.(47) Delaware 0 0 0 0 ---------------------- (41) Created by Thomas J. Healey. (42) Created by Wiet H.M. Pot. (43) Created by Sylvain M. Hefes. (44) Created by Charles B. Seelig, Jr. (45) Created by David B. Ford. (46) Created by Thomas J. Healey. (47) Created by Jaime E. Yordan. 44
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- HEMPA Limited Partnership(48) Delaware 0 0 0 0 JSS Investment Partners, L.P.(49) Delaware 0 0 0 0 The Litzenberger Family Limited Partnership Delaware 0 0 0 0 Mesdag Family Limited Partnership Delaware 0 0 0 0 Mijen Family Partnership(50) Illinois 0 0 0 0 Opatrny Investment Partners, L.P. Delaware 0 0 0 0 Quail Brook GS Partners, L.P.(51) Delaware 0 0 0 0 Rantz GS Investment Partners, L.P. Delaware 0 0 0 0 Savitz Investment Partners, L.P.(52) Delaware 0 0 0 0 Stone Gate GS Partners, L.P.(53) Delaware 0 0 0 0 Trott GS Investment Partners, L.P. Delaware 0 0 0 0 Tuft GS Investment Partners, L.P. Delaware 0 0 0 0 Ward Investment Partners, L.P. Delaware 0 0 0 0 Windy Hill Investment Company II, L.P.(54) Delaware 0 0 0 0 Winkelried Investment Partners, L.P. Delaware 0 0 0 0 LIMITED LIABILITY COMPANIES The James Coufos Family LLC Delaware 0 0 0 0 The Lawrence Cohen Family LLC Delaware 0 0 0 0 The Rebecca Amitai Family LLC Delaware 0 0 0 0 CORPORATIONS Anahue Limited(55) Jersey 0 0 0 0 Chambolle Limited(56) Jersey 0 0 0 0 Guapulo Holdings Ltd(57) Jersey 0 0 0 0 HJS2 Limited(58) Cayman Islands 0 0 0 0 ------------------------ (48) Created by Henry M. Paulson, Jr. (49) Created by Jonathan S. Savitz. (50) Created by Peter Layton. (51) Created by Barry L. Zubrow. (52) Created by Peter Savitz. (53) Created by Connie K. Duckworth. (54) Created by Joseph D. Gutman. (55) Created by Andrew A. Chisholm. (56) Created by Emmanuel Roman. (57) Created by Erland S. Karlsson. (58) Created by Hsueh J. Sung. 45
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[Enlarge/Download Table] ITEM 6 ITEM 7 ITEM 8 ITEM 9 ITEM 10 PLACE OF SOLE SHARED SOLE SHARED ORGANIZATION VOTING VOTING DISPOSITIVE DISPOSITIVE (NEW YORK POWER OF POWER OF POWER OF POWER OF ITEM 1 UNLESS OTHERWISE UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS INDICATED) SHARES SHARES SHARES SHARES ----------------------------------------------------- ---------------- --------- --------- ---------- ----------- Majix Limited(59) Jersey 0 0 0 0 Melalula Limited(60) Jersey 0 0 0 0 RJG Holding Company(61) Cayman Islands 0 0 0 0 Robinelli Limited(62) Jersey 0 0 0 0 Vyrona Holdings Limited(63) Jersey 0 0 0 0 Zurrah Limited(64) Jersey 0 0 0 0 -------------------------- (59) Created by Alok Oberoi. (60) Created by Peter D. Sutherland. (61) Created by Richard J. Gnodde. (62) Created by Claudio Costamagna. (63) Created by Sylvain M. Hefes. (64) Created by Yoel Zaoui. 46
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This Amendment No. 51 to a Statement on Schedule 13D amends and restates in its entirety such Schedule 13D (as so amended and restated, this "Schedule"). This Amendment No. 51 is being filed primarily because as of April 22, 2004 the number of shares of Common Stock (as defined in Item 1 below) beneficially owned by Covered Persons (as defined in Item 2 below) has decreased by an amount in excess of one percent of the total number of shares of Common Stock outstanding and as of April 24, 2004 the number of shares of Common Stock beneficially owned by Covered Persons has increased by an amount in excess of one percent of the total number of shares of Common Stock outstanding due to shares of Common Stock that may be delivered pursuant to restricted stock units and upon exercise of stock options within 60 days of such date. ITEM 1. SECURITY AND ISSUER This Schedule relates to the Common Stock, par value $.01 per share (the "Common Stock"), of The Goldman Sachs Group, Inc. ("GS Inc."), a Delaware corporation. The address of the principal executive offices of GS Inc. is 85 Broad Street, New York, New York 10004. ITEM 2. IDENTITY AND BACKGROUND (a), (b), (c), (f) The cover page to this Schedule and Appendix A hereto contain the names of the persons ("Covered Persons") who beneficially own Common Stock subject to a Shareholders' Agreement ("Covered Shares"), dated as of May 7, 1999, to which the Covered Persons are party (as amended from time to time, the "Shareholders' Agreement"). This filing is being made on behalf of all of the Covered Persons, and their agreement that this filing may be so made is contained in the Shareholders' Agreement. Appendix A hereto also provides the citizenship or place of organization of each Covered Person. Each Covered Person who is an individual (an "Individual Covered Person") is a senior professional employed or formerly employed by GS Inc. or one of its affiliates or a spouse or former spouse thereof. GS Inc. is a global investment banking and securities firm. Each Covered Person who is not an individual is a trust, limited partnership, limited liability company or corporation created by or for an Individual Covered Person for estate planning purposes. Each Covered Person listed in Appendix A under the caption "Partnerships" is a limited partnership of which an Individual Covered Person is general partner. Each Covered Person listed in Appendix A under the caption "Corporations" (a "Corporate Covered Person") is controlled by an Individual Covered Person (the "Controlling Covered Person"). Each Covered Person listed in Appendix A under the caption "Limited Liability Companies" (a "Limited Liability Covered Person") is a limited liability company of which an Individual Covered Person is a managing member. The name, citizenship, business address and present principal occupation or employment of each of the directors and executive officers of each Corporate Covered Person (other than the Controlling Covered Person) are set forth in Annex A hereto. The business address of each Covered Person for purposes of this Schedule is: (i) in the case of entities organized in Jersey or under the laws of the United Kingdom, 26 New Street, St. Helier, Jersey, JE2 3RA; (ii) in the case of entities organized in the Cayman Islands, P.O. Box 309, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands; (iii) in the case of entities organized in Bermuda, Victoria Hall, 11 Victoria Street, Hamilton HM11, Bermuda; and (iv) in the case of all other Covered Persons, 85 Broad Street, New York, New York 10004. (d), (e) Except as described in Annex A or Annex B, during the last five years no Covered Person or, to the best knowledge of the Covered Persons, any executive officer or director of a Covered Person, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in such Covered Person being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The Covered Shares have been and will be acquired by the Covered Persons in the following manner: (i) the former profit participating limited partners active in the business of The Goldman Sachs 47
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Group, L.P. ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares in exchange for their interests in Group L.P. and certain of its affiliates and investee corporations; (ii) the former owners (the "Hull Covered Persons") of Hull and Associates, L.L.C. ("Hull"), the former members (the "SLK Covered Persons") of SLK LLC, the former members (the "Jacobson Covered Persons") of Benjamin Jacobson & Sons, LLC ("Jacobson"), the former members (the "Walter Frank Covered Persons") of Walter N. Frank & Co., LLC ("Walter Frank") and John Breyo (together with the Hull Covered Persons, the SLK Covered Persons, the Jacobson Covered Persons and Walter Frank Covered Persons, the "Acquisition Covered Persons"), a former partner of The Ayco Company, L.P. ("Ayco"), acquired certain Covered Shares in exchange for their interests in Hull, SLK LLC, Jacobson, Walter Frank or Ayco, as applicable; (iii) certain Individual Covered Persons have acquired and will acquire beneficial ownership of certain other Covered Shares in connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s employee compensation, benefit or similar plans; (iv) certain Individual Covered Persons (the "Transferee Covered Persons") acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; and (v) certain Covered Persons (the "Estate Planning Covered Persons") have acquired and will acquire beneficial ownership of their Covered Shares as contributions or gifts made by Individual Covered Persons. Covered Persons may from time to time acquire Common Stock not subject to the Shareholders' Agreement ("Uncovered Shares") for investment purposes. Such Common Stock may be acquired with personal funds of or funds borrowed by such Covered Person. ITEM 4. PURPOSE OF TRANSACTIONS The Individual Covered Persons, other than the Acquisition Covered Persons and the Transferee Covered Persons, acquired certain Covered Shares in connection with the succession of GS Inc. to the business of Group L.P. and GS Inc.'s initial public offering and through certain employee compensation, benefit or similar plans of GS Inc. The Acquisition Covered Persons acquired certain Covered Shares in connection with the acquisition by GS Inc. of Hull, Jacobson, Walter Frank or Ayco or the combination of GS Inc. with SLK LLC, as applicable, and through certain employee compensation, benefit or similar plans of GS Inc. The Transferee Covered Persons acquired their Covered Shares from other Individual Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees. As a condition to the transfer of the Covered Shares, the Shareholders' Committee required that each Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual Covered Persons, and the provisions of the organizational documents of certain Estate Planning Covered Persons provide for the distribution of Common Stock to certain other Covered Persons. As a condition to the contribution or gift of the Covered Shares, the Shareholders' Committee required that each Estate Planning Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions referred to in Item 6 below. The board of directors of GS Inc. and, in the case of the PMDs and the Transferee Covered Persons, the Shareholders' Committee have approved sales by the PMDs, Transferee Covered Persons and certain Estate Planning Covered Persons and Acquisition Covered Persons of a portion of their shares of Common Stock through two programs (the "Channel A Sales Program" and the "Channel B Sales Program"). Sales under the Channel A and Channel B Sales Programs commenced on March 24, 2004 and terminated on April 23, 2004 with an aggregate of 2,781,551 Covered Shares having been sold. See Annex E for sales since the last amendment to this Schedule 13D. The Channel A and Channel B Sales Programs may continue in subsequent fiscal quarters, but can be suspended, modified or terminated at any time. The participants in the Channel A Sales Program may sell, in a coordinated manner, a portion of their Covered Shares in accordance with the volume and manner of sale limitations of Rule 144 under the Securities Act of 1933, as amended ("Rule 144"), and a volume limitation that will be established by GS Inc. (the "Channel A Sales Limit"). Subject to the volume limitations of Rule 144 and the Channel A Sales Limit, up to 11,868,812 Covered Shares are eligible for sale by Covered Persons under the Channel A Sales Program. These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions (as defined 48
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below) that lapsed on May 8, 2002 and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). The participants in the Channel A Sales Program specified in Annex C are effecting their sales pursuant to plans designed to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. With respect to other participants, the decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the foregoing limitations. The participants in the Channel B Sales Program may sell, in a coordinated manner, a portion of their shares of Common Stock in accordance with Rule 144(k) and a volume limitation that will be established by GS Inc. (the "Channel B Sales Limit"). Subject to the Channel B Sales Limit, up to 11,894,665 Covered Shares are eligible for sale by Covered Persons under the Channel B Sales Program. These consist of those Covered Shares that had been subject to the Partner Transfer Restrictions that lapsed on May 8, 2002, and May 8, 2003, as well as up to 10% of each Covered Person's shares that are subject to the Partner Transfer Restrictions that would otherwise lapse on May 8, 2004 (generally not including shares held through U.S. estate planning vehicles or private charitable foundations). The decision as to whether and how many shares to sell will be made by each participant on a daily basis, subject to the volume limitation. Covered Persons may from time to time acquire Uncovered Shares for investment purposes. Except as described herein and except for the acquisition by Covered Persons of Common Stock pursuant to employee compensation, benefit or similar plans of GS Inc. in the future or as described above, none of the Covered Persons has any plans or proposals which relate to or would result in their acquisition of additional Common Stock or any of the other events described in Item 4(a) through 4(j). Each Covered Person is expected to evaluate on an ongoing basis GS Inc.'s financial condition and prospects and his or her interests in and with respect to GS Inc. Accordingly, each Covered Person may change his or her plans and intentions at any time and from time to time. In particular, each Covered Person may at any time and from time to time acquire or dispose of shares of Common Stock. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) Rows (11) and (13) of the cover page to this Schedule, Appendix A and Annex A are hereby incorporated by reference. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. Except as described in Annex D, none of the shares of Common Stock reported in rows (11) and (13) of the cover page to this Schedule and Appendix A are shares as to which there is a right to acquire exercisable within 60 days. (b) Rows (7) through (10) of the cover page to this Schedule, Appendix A and Annex A set forth the percentage range of Covered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; the number of Uncovered Shares as to which there is sole power to vote or direct the vote or to dispose or direct the disposition; and the number of shares of Common Stock as to which there is shared power to vote or direct the vote or to dispose or direct the disposition. With respect to the Covered Shares subject to the Partner Transfer Restrictions, the power to vote Covered Shares by Covered Persons is shared with each other Covered Person, as described below in response to Item 6. Each Covered Person hereby disclaims beneficial ownership of any shares of Common Stock held by any other Covered Person. (c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the 49
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Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons, certain Hull Covered Persons and the Transferee Covered Persons, are filed as Exhibits to this Schedule and the following summary of the terms of the Shareholders' Agreement is qualified in its entirety by reference thereto. In the case of each SLK Covered Person, certain of the provisions and restrictions discussed below are set forth in an Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000 (an "SLK Member Agreement"), between such SLK Covered Person and GS Inc. In the case of each Jacobson Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of January 26, 2001 (the "Jacobson Member Agreement"), between such Jacobson Covered Person and GS Inc. In the case of each Walter Frank Covered Person, certain of the provisions and restrictions discussed below are set forth in a Member Agreement, dated as of May 16, 2002 (the "Walter Frank Member Agreement"), between such Walter Frank Covered Person and GS Inc. In the case of John Breyo, certain of the provisions and restrictions discussed below are set forth in a Partner Agreement, dated as of April 14, 2003 (the "Breyo Partner Agreement"), between John Breyo and GS Inc and, together with the SLK Member Agreement, the Jacobson Member Agreement and the Walter Frank Member Agreement, the "Member Agreements"). The forms of the Member Agreements are filed as Exhibits to this Schedule and the following summary is qualified in its entirety by reference thereto. References to the "board of directors" are to the board of directors of The Goldman Sachs Group, Inc. The Covered Shares include generally all Common Stock acquired or to be acquired from GS Inc. by the Covered Persons. Covered Shares include: shares of Common Stock acquired by the PMDs in exchange for their interests in Group L.P. and certain of its affiliates; shares of Common Stock acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson, Walter Frank or Ayco, as applicable; shares of Common Stock acquired or to be acquired through the grant of restricted stock units, stock options and interests in a defined contribution plan (except for certain Uncovered Shares as specified in Appendix A); shares of Common Stock acquired by the Transferee Covered Persons in accordance with pre-existing contractual arrangements or judicial decrees; shares of Common Stock acquired or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes and shares of Common Stock to be distributed by Estate Planning Covered Persons to Individual Covered Persons or to other Estate Planning Covered Persons; and, unless otherwise determined by the board of directors and the Shareholders' Committee, any shares of Common Stock acquired or to be acquired by the Covered Persons from GS Inc. through any other employee compensation, benefit or similar plan. Covered Shares do not include any shares of Common Stock purchased or to be purchased by a Covered Person in the open market or in a subsequent underwritten public offering. TRANSFER RESTRICTIONS Each Individual Covered Person (other than the Transferee Covered Persons and, with respect to the shares of Common Stock received in exchange for their interests in Hull, the Hull Covered Persons) has agreed in the Shareholders' Agreement, among other things, to retain beneficial ownership of Covered Shares at least equal to 25% of the cumulative number of Covered Shares beneficially owned by him or her at the time he or she became a Covered Person or acquired by him or her thereafter and with no credit for dispositions (the "General Transfer Restrictions") for so long as he or she is a Covered Person and an employee of GS Inc. (an "Employee Covered Person"). The PMDs are also subject to limitations on their ability to transfer some of the Covered Shares received in connection with the succession of GS Inc. to the business of Group L.P. Such restrictions also apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC, Jacobson, Walter Frank or Ayco, as applicable. Under these restrictions (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions"), each PMD, Hull Covered Person, SLK Covered Person and Jacobson Covered Person agreed not to transfer such Covered Shares until after May 7, 2002, the third anniversary of the date of GS Inc.'s initial public offering of its Common Stock, each Walter Frank Covered Person agreed not to transfer such Covered Shares until after June 26, 2003, the first anniversary of the closing of the acquisition by GS Inc. of Walter Frank, and John Breyo agreed not to transfer such Covered Shares until after July 1, 2004, the first anniversary of the closing of the acquisition by GS Inc. of Ayco. The Partner Transfer Restrictions lapsed as to 25,325,624 Covered Shares on May 8, 2002, 54,786,126 Covered Shares on May 8, 2003 and 177,851 50
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Covered Shares on June 26, 2003, and will lapse as to the remaining Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and Jacobson Covered Persons on May 8, 2004, as to the Covered Shares beneficially owned by the Walter Frank Covered Persons in equal installments on each of June 26, 2004 and June 26, 2005 and as to the Covered Shares beneficially owned by John Breyo in equal installments on each of July 1, 2004, July 1, 2005 and such date after December 31, 2005 (but in no event later than January 31, 2005) on which GS Inc. notifies John Breyo that such Partner Transfer Restrictions have lapsed. The Covered Shares held by each Estate Planning Covered Person and Transferee Covered Person are subject to the same Partner Transfer Restrictions that applied to such Covered Shares prior to such Covered Person's acquisition thereof. The Transfer Restrictions applicable to an Individual Covered Person (and his or her Estate Planning Covered Persons) terminate upon the death of the Individual Covered Person. WAIVERS Except in the case of a third-party tender or exchange offer, the Partner Transfer Restrictions may be waived or terminated at any time by the Shareholders' Committee described below under "Information Regarding the Shareholders' Committee". The Shareholders' Committee also has the power to waive the Transfer Restrictions to permit Covered Persons to: participate as sellers in underwritten public offerings of Common Stock and tender and exchange offers and share repurchase programs by GS Inc.; transfer Covered Shares to charities, including charitable foundations; transfer Covered Shares held in employee benefit plans; and transfer Covered Shares in specific transactions (for example, to immediate family members and trusts) or other circumstances. The Shareholders' Committee permitted the transfers of Covered Shares to the Estate Planning Covered Persons and the Transferee Covered Persons on the condition that each Estate Planning Covered Person and Transferee Covered Person agree to become a party to the Shareholders' Agreement and to be bound by the Partner Transfer Restrictions. On July 31, 2000, the Shareholders' Committee waived the Partner Transfer Restrictions solely to permit certain Covered Persons to pledge a portion of their Covered Shares to obtain approximately $400,000,000 in loan commitments to make investments from time to time in certain merchant banking funds sponsored by GS Inc. The loan commitments are for five years, may be drawn upon from time to time and generally require that any loans be collateralized by shares of Common Stock with a market value four times that of the amount borrowed. Pursuant to Rule 13d-3(d)(3) under the Securities Exchange Act of 1934, as amended, the pledgees did not acquire beneficial ownership of the pledged shares by virtue of the pledge. The Shareholders' Committee and, in the case of the Acquisition Covered Persons, the board of directors waived the Partner Transfer Restrictions to permit the sale of 609,631 Covered Shares by certain Covered Persons under the Channel A Sales Program and of 2,040,467 Covered Shares by certain Covered Persons under the Channel B Sales Program. In the case of a third-party tender or exchange offer, the Transfer Restrictions may be waived or terminated: if the board of directors is recommending acceptance or is not making any recommendation with respect to acceptance of the tender or exchange offer, by a majority of the Voting Interests (as defined below); or if the board of directors is recommending rejection of the tender or exchange offer, by 66 2/3% of the outstanding Voting Interests. In the case of a tender or exchange offer by GS Inc., a majority of the outstanding Voting Interests may also elect to waive or terminate the Transfer Restrictions. VOTING Prior to any vote of the shareholders of GS Inc., the Shareholders' Agreement requires a separate, preliminary vote of the Voting Interests on each matter upon which a vote of the shareholders is proposed to be taken (the "Preliminary Vote"). Each Covered Share held by an Employee Covered Person and each other Covered Share subject to the Partner Transfer Restrictions will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting 51
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Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all Employee Covered Persons. OTHER RESTRICTIONS The Shareholders' Agreement also prohibits the Employee Covered Persons from engaging in certain activities relating to any securities of GS Inc. with any person who is not a Covered Person or a director, officer or employee of GS Inc. ("Restricted Persons"). Among other things, an Employee Covered Person may not: participate in a proxy solicitation to or with a Restricted Person; deposit any Covered Shares in a voting trust or subject any Covered Shares to any voting agreement or arrangement that includes any Restricted Person; form, join or in any way participate in a "group" with any Restricted Person; or together with any Restricted Person, propose certain transactions with GS Inc. or seek the removal of any directors of GS Inc. or any change in the composition of the board of directors. TERM, AMENDMENT AND CONTINUATION The Shareholders' Agreement is to continue in effect until the earlier of January 1, 2050 and the time it is terminated by the vote of 66 2/3% of the outstanding Voting Interests. The Partner Transfer Restrictions will not terminate upon the expiration or termination of the Shareholders' Agreement unless previously waived or terminated or unless subsequently waived or terminated by the board of directors. The Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. Unless otherwise terminated, in the event of any transaction in which a third party succeeds to the business of GS Inc. and in which Covered Persons hold securities of the third party, the Shareholders' Agreement will remain in full force and effect as to the securities of the third party, and the third party shall succeed to the rights and obligations of GS Inc. under the Shareholders' Agreement. INFORMATION REGARDING THE SHAREHOLDERS' COMMITTEE The Shareholders' Committee constituted pursuant to the Shareholders' Agreement (the "Shareholders' Committee") shall at any time consist of each of those individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee. If there are less than three individuals who are both Employee Covered Persons and members of the board of directors and who agree to serve as members of the Shareholders' Committee, the Shareholders' Committee shall consist of each such individual plus such additional individuals who are Employee Covered Persons and who are selected pursuant to procedures established by the Shareholders' Committee as shall assure a Shareholders' Committee of not less than three members who are Employee Covered Persons. Currently, Henry M. Paulson, Jr., Robert S. Kaplan and Lloyd C. Blankfein are the members of the Shareholders' Committee. PLEDGE AGREEMENTS Each PMD has pledged (the "IPO Pledge") to GS Inc. Common Stock or other assets with an initial value equal to $15 million for each such person who served on the board of directors on May 7, 1999, the Management Committee or the Partnership Committee of GS Inc. and $10 million for each other such person. This pledge, which generally terminates on May 8, 2004, secures the liquidated damages provision of a noncompetition agreement which each such person has entered into with GS Inc. The form of agreement relating to noncompetition and other covenants and the form of pledge agreement, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. In connection with the transfers by persons subject to a noncompetition agreement to Estate Planning Covered Persons who are corporations and certain transfers to Estate Planning Covered Persons who are trusts, the IPO Pledge was replaced with a guarantee and pledge agreement that was entered into by the relevant Estate Planning Covered Person. In addition, each transferring Covered Person in these 52
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transfers was required to pledge the capital stock or trust interests, as applicable, of the relevant Estate Planning Covered Person to GS Inc. in order to further secure the transferring Covered Person's obligations under the noncompetition agreement. The forms of the pledge agreements, as amended, are filed as Exhibits to this Schedule and the foregoing summary of these agreements is qualified in its entirety by reference thereto. On June 25, 2003, a similar arrangement was established with respect to a previously established Estate Planning Covered Person, with the IPO Pledge being replaced by a guarantee and pledge agreement entered into by the Estate Planning Covered Person and the Individual Covered Person pledging his interests in the entity to GS Inc. In connection with GS Inc.'s combination with SLK and acquisitions of Jacobson and Walter Frank, each SLK Covered Person, Jacobson Covered Person and Walter Frank Covered Person who is an individual has pledged to GS Inc. Common Stock or other assets to secure the Covered Person's obligation under his or her Member Agreement to pay liquidated damages upon breach of certain provisions relating to noncompetition and nonsolicitation. In connection with GS Inc.'s acquisition of Ayco, John Breyo has pledged to GS Inc. Common Stock or other assets to secure his obligations under the Breyo Partner Agreement to indemnify GS Inc. in connection with the acquisition of Ayco and not to engage in certain competitive activities or solicit clients or employees of GS Inc. The form of each pledge agreement, as amended, is filed as an Exhibit to this Schedule and the foregoing summary of this agreement is qualified in its entirety by reference thereto. In addition to pledges pursuant to the arrangements described in the second paragraph under "Waivers" above, one or more Covered Persons have pledged in the aggregate 2,736,198 Covered Shares to third-party lending institutions as collateral for loans. A portion of these pledged shares may be sold from time to time with the consent of the third-party lending institution. REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS In connection with the donations of shares of Common Stock by certain Covered Persons to certain charitable organizations on December 13, 1999, December 22, 2000, December 26, 2001, January 9, 2002, December 23, 2002, January 8, 2003, December 22, 2003 and January 8, 2004, GS Inc. entered into a Registration Rights Instrument and five substantially similar Supplemental Registration Rights Instruments (the "Charitable Supplements"). The following is a description of the Registration Rights Instrument, as supplemented by the Charitable Supplements. The Registration Rights Instrument and the Charitable Supplements are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the Charitable Supplements, GS Inc. has agreed to register the donated shares of Common Stock for resale by charitable foundations and public charities. GS Inc. has agreed in the Registration Rights Instrument and the Charitable Supplements to pay all of the fees and expenses relating to the offering by the charitable organizations, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the charitable organizations in connection with their resales. GS Inc. also has agreed to indemnify the charitable organizations against certain liabilities, including those arising under the Securities Act. GS Inc. may amend the Registration Rights Instrument and the Charitable Supplements in any manner that it deems appropriate, without the consent of any charitable organization. However, GS Inc. may not make any amendment that would cause the shares of Common Stock to fail to be "qualified appreciated stock" within the meaning of Section 170 of the Internal Revenue Code. In addition, GS Inc. may not make any amendment that would materially and adversely affect the rights of any charitable organization without the consent of a majority of the materially and adversely affected charitable organizations. REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Employee Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to the terms of restricted stock units, GS Inc. entered into a Supplemental Registration Rights Instrument (the "EMD Supplement"), which supplements 53
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the Registration Rights Instrument referred to above. The following is a description of the Registration Rights Instrument, as supplemented by the EMD Supplement. The Registration Rights Instrument and the EMD Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the EMD Supplement, GS Inc. has agreed to pay all of the fees and expenses relating to the registered offering of shares of Common Stock held by the Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Employee Managing Directors against certain liabilities, including those arising under the Securities Act. DERIVATIVE INSTRUMENTS Certain Individual Covered Persons have written American-style call options on an aggregate of 2,433,100 Covered Shares with strike prices ranging from $90.00 to $125.00 and maturity dates ranging from May 22, 2004 to January 21, 2006. An Individual Covered Person has purchased American-style call options on an aggregate of 50,000 Covered Shares with a strike price of $105.00 and a maturity date of May 22, 2004. An Individual Covered Person has written American-style put options on an aggregate of 25,000 Uncovered Shares with a strike price of $95.00 and having a maturity date of July 17, 2004. None of these Covered Persons is employed by Goldman Sachs. Certain private foundations established by one or more Individual Covered Persons, none of whom are employed by Goldman Sachs, have written American-style call options on an aggregate of 24,000 Uncovered Shares with strike prices ranging from $100.00 to $105.00 and maturity dates ranging from July 17, 2004 to January 22, 2005. An Individual Covered Person who is not employed by GS Inc. entered into two separate pre-paid variable share forward contracts on June 2, 2003 on Covered Shares that were not subject to any transfer restrictions. One contract relates to 74,051 Covered Shares, has a Cap Price (as used in the formula below) of $98.59 and a Floor Price (as used in the formula below) of $82.15, and yielded proceeds to the Individual Covered Person of $5,275,126.66. The other contract relates to 74,052 Covered Shares, has a Cap Price of $98.42 and a Floor Price of $82.02, and yielded proceeds to the Individual Covered Person of $5,267,570.54. Both contracts have a delivery date of June 7, 2006 (the "Delivery Date"). Under each contract, in exchange for receiving the proceeds, the Individual Covered Person agreed to deliver a number of shares of Common Stock on the Delivery Date (or on an earlier date if the contract is terminated early) pursuant to the following formula: (i) if the price of Common Stock on June 2, 2006 (the "Final Price") is less than the Floor Price, the number of shares to which the contract relates (the "Number of Shares"); (ii) if the Final Price is less than to the Cap Price, but greater than the Floor Price, then a number of shares equal to the Number of Shares times the Floor Price divided by the Final Price; (iii) if the Final Price is greater than the Cap Price, then a number of shares equal to the Number of Shares multiplied by a fraction, the numerator of which is the sum of the Floor Price and the difference between the Final Price and the Cap Price, and the denominator of which is the Final Price. Alternatively, the Individual Covered Person has the option to cash settle either contract, with the cash settlement amount being equal to the Number of Shares to be delivered times the Final Price. In connection with these contracts, the Individual Covered Person pledged an aggregate of 148,103 Covered Shares to the counterparties to secure the delivery obligation. 54
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Material to be Filed as Exhibits [Download Table] Exhibit Description ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). C. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). D. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). E. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). F. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). G. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). H. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). M. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). 55
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[Download Table] Exhibit Description ------- ----------- N. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). P. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). Q. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). R. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). S. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). T. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). U. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). V. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). W. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). X. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). Y. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). Z. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). 56
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[Download Table] Exhibit Description ------- ----------- AA. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.). BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). EE. Supplemental Registration Rights Instrument, dated as of December 20, 2002 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-101093) filed by The Goldman Sachs Group, Inc.). FF. Form of Written Consent Relating to Sale and Purchase of Common Stock (incorporated by reference to Exhibit FF to Amendment No. 35 to the Initial Schedule 13D, filed January 8, 2003 (File No. 005-56295)). GG. Partner Agreement, dated as of April 14, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit GG to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). HH. Pledge Agreement, dated as of July 1, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit HH to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). II. Supplemental Registration Rights Instrument, dated as of December 19, 2003 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-110371) filed by The Goldman Sachs Group, Inc.). 57
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ANNEX A INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE COVERED PERSONS [Enlarge/Download Table] CONVICTIONS OR BENEFICIAL VIOLATIONS OF OWNERSHIP OF THE FEDERAL OR STATE COMMON STOCK OF PRESENT LAWS WITHIN THE THE GOLDMAN NAME CITIZENSHIP BUSINESS ADDRESS EMPLOYMENT LAST FIVE YEARS SACHS GROUP, INC. ------------------------------------------------------------------------------------------------------------------ Steven M. USA 85 Broad Street Managing Director, None Covered Person, so Bunson New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman Sachs ownership is as set 10004 Group, Inc. forth in or incorporated into Item 5 above. Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA Anthony J. UK 26 New Street, Partner, None None Dessain St. Helier, Jersey, Bedell Cristin JE4 3RA 58
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ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 59
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ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS Pursuant to sales plans intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended, each of the Covered Persons listed below may sell up to the number of shares of Common Stock set forth opposite such Covered Person's name under the Channel A Sales Program described in Item 4. [Enlarge/Download Table] NUMBER OF SHARES SOLD FROM MAXIMUM NUMBER OF SHARES THAT MARCH 24, 2004 THROUGH APRIL [_], COVERED PERSON MAY BE SOLD UNDER THE PLAN 2004 UNDER THE PLAN ------------------------------------------------------------------------------------------------ Christopher A. Cole 125,000 125,000 Suzanne M. Nora Johnson 29,654 0 David A. Viniar 30,000 0 Peter A. Weinberg 28,529 28,529 60
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ANNEX D ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE EXERCISABLE WITHIN 60 DAYS. An aggregate of 25,379,148 shares of Common Stock are deliverable to Covered Persons upon the exercise of stock options, all of which have vested and are exercisable. On or about June 23, 2004 an aggregate of 6,040,260 shares of Common Stock will be deliverable pursuant to the terms of an equal number of restricted stock units and on or about June 23, 2004 stock options covering 7,765,129 shares of Common Stock will vest and become exercisable. The share amounts given above include the gross number of shares of Common Stock underlying these restricted stock units and options, and are included in the aggregate number of shares beneficially owned by the Covered Persons under Rule 13d-3(d)(1) because they represent a right to acquire beneficial ownership within 60 days of the date hereof. Upon delivery of the shares pursuant to the terms of restricted stock units or upon the exercise of stock options, a net amount of shares will be actually delivered to the Covered Person, with some shares withheld for tax payments, to fund the option strike price or for other reasons. The net shares delivered to the Covered Person will continue to be included in aggregate number of shares beneficially owned by the Covered Persons. The withheld shares will cease to be beneficially owned by any Covered Person, and will no longer be included in the aggregate number of shares beneficially owned by Covered Persons. 61
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ANNEX E ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY THE COVERED PERSONS IN THE PAST 60 DAYS AND NOT PREVIOUSLY REPORTED ON SCHEDULE 13D On March 15, 2004 and on March 26, 2004, 4 Individual Covered Persons transferred an aggregate of 451,775 Covered Shares to entities created for estate planning purposes (some of which Covered Shares had been distributed to the Individual Covered Persons earlier that month by other Estate Planning Covered Persons). Upon these transfers, the transferee entities became, Covered Persons. The following sales of Covered Shares were made by the following Covered Persons through one or more subsidiaries of GS Inc. for cash on the New York Stock Exchange: [Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Channel A Sales Peter A. Weinberg March 24, 2004 3,529 $ 99.47 Stephen H. Frank March 29, 2004 5,600 $ 104.49 Richard A. Friedman March 30, 2004 50,000 $ 104.02 Christopher A. Cole March 30, 2004 10,000 $ 104.02 Stephen H. Frank March 31, 2004 5,029 $ 104.24 Christopher A. Cole March 31, 2004 10,000 $ 104.24 Christopher A. Cole April 1, 2004 10,000 $ 105.65 Christopher A. Cole April 2, 2004 10,000 $ 105.56 Christopher A. Cole April 5, 2004 10,000 $ 105.60 Christopher A. Cole April 6, 2004 10,000 $ 105.34 Christopher A. Cole April 7, 2004 10,000 $ 105.14 Christopher A. Cole April 8, 2004 10,000 $ 105.73 Christopher A. Cole April 12, 2004 10,000 $ 105.94 Robert K. Steel April 12, 2004 150,000 $ 105.94 Christopher A. Cole April 13, 2004 10,000 $ 103.46 Christopher A. Cole April 14, 2004 10,000 $ 101.28 Christopher A. Cole April 15, 2004 10,000 $ 101.10 Christopher A. Cole April 16, 2004 5,000 $ 102.96 Gary D. Cohn April 23, 2004 20,000 $ 100.38 Channel B Sales David W. Blood March 24, 2004 24,825 $ 99.51 E. Gerald Corrigan March 24, 2004 20,000 $ 99.51 David L. Henle March 24, 2004 10,000 $ 99.51 James A Jacobson March 24, 2004 4,361 $ 99.51 David G. Lambert March 24, 2004 5,016 $ 99.51 Ronald G. Marks March 24, 2004 18,158 $ 99.51 Sharmin Mossavar-Rahmani March 24, 2004 10,000 $ 99.51 Kipp M. Nelson March 24, 2004 21,658 $ 99.51 Donald C. Opatrny, Jr. March 24, 2004 10,000 $ 99.51 Timothy C. Plaut March 24, 2004 18,289 $ 99.51 Wiet H.M. Pot March 24, 2004 9,145 $ 99.51 James P. Riley, Jr. March 24, 2004 30,000 $ 99.51 Joseph Sassoon March 24, 2004 2,000 $ 99.51 Howard A. Silverstein March 24, 2004 5,000 $ 99.51 John R. Tormondsen March 24, 2004 3,000 $ 99.51 John E. Urban March 24, 2004 2,205 $ 99.51 Patrick J Ward March 24, 2004 44,043 $ 99.51 Tracy R. Wolstencroft March 24, 2004 28,800 $ 99.51 Joseph R. Zimmel March 24, 2004 42,123 $ 99.51 Mark A. Zurack March 24, 2004 3,000 $ 99.51 Peter J. Layton March 25, 2004 651 $ 100.73 Sharmin Mossavar-Rahmani March 25, 2004 10,000 $ 100.73 Donald C. Opatrny, Jr. March 25, 2004 10,000 $ 100.73 Howard A. Silverstein March 25, 2004 5,000 $ 100.73 Mark A. Zurack March 25, 2004 2,000 $ 100.73 Claudio Costamagna March 26, 2004 4,165 $ 103.26 Paul C. Deighton March 26, 2004 11,850 $ 103.26 David L. Henle March 26, 2004 10,000 $ 103.26 David G. Lambert March 26, 2004 5,000 $ 103.26 Sharmin Mossavar-Rahmani March 26, 2004 10,000 $ 103.26 Donald C. Opatrny, Jr. March 26, 2004 10,000 $ 103.26 Wiet H.M. Pot March 26, 2004 30,114 $ 103.26 Joseph Sassoon March 26, 2004 2,500 $ 103.26 Howard A. Silverstein March 26, 2004 5,000 $ 103.26 John R. Tormondsen March 26, 2004 3,000 $ 103.26 Mark A. Zurack March 26, 2004 3,000 $ 103.26 David L. Henle March 29, 2004 10,000 $ 104.36 Donald C. Opatrny, Jr. March 29, 2004 10,000 $ 104.36 James P. Riley, Jr. March 29, 2004 9,030 $ 104.36 Joseph Sassoon March 29, 2004 2,500 $ 104.36 Howard A. Silverstein March 29, 2004 5,000 $ 104.36 Gene T. Sykes March 29, 2004 22,000 $ 104.36 John E. Urban March 29, 2004 3,000 $ 104.36 Mark A. Zurack March 29, 2004 5,000 $ 104.36 E. Gerald Corrigan March 30, 2004 20,000 $ 103.93 Claudio Costamagna March 30, 2004 16,671 $ 103.93 Gavyn Davies March 30, 2004 25,000 $ 103.93 Jeffrey B. Goldenberg March 30, 2004 10,000 $ 103.93 David L. Henle March 30, 2004 10,000 $ 103.93 Chansoo Joung March 30, 2004 10,000 $ 103.93 Bradford C. Koenig March 30, 2004 18,332 $ 103.93 Philip J. Kopp III March 30, 2004 5,187 $ 103.93 Robert Litterman March 30, 2004 49,086 $ 103.93 Jonathan M. Lopatin March 30, 2004 5,000 $ 103.93 Sharmin Mossavar-Rahmani March 30, 2004 10,000 $ 103.93 Donald C. Opatrny, Jr. March 30, 2004 10,000 $ 103.93 Joseph Sassoon March 30, 2004 2,500 $ 103.93 Howard A. Silverstein March 30, 2004 5,000 $ 103.93 John R. Tormondsen March 30, 2004 5,000 $ 103.93 John E. Urban March 30, 2004 2,000 $ 103.93 George H. Walker March 30, 2004 7,294 $ 103.93 Mark A. Zurack March 30, 2004 6,774 $ 103.93 Mark Carroll March 31, 2004 5,000 $ 104.20 Joseph H. Gleberman March 31, 2004 5,000 $ 104.20 Sharmin Mossavar-Rahmani March 31, 2004 10,000 $ 104.20 Donald C. Opatrny, Jr. March 31, 2004 10,000 $ 104.20 Joseph Sassoon March 31, 2004 2,500 $ 104.20 Howard A. Silverstein March 31, 2004 5,000 $ 104.20 Malcolm B. Turnbull March 31, 2004 6,000 $ 104.20 Timothy D. Dattels April 1, 2004 10,000 $ 105.48 Joseph H. Gleberman April 1, 2004 5,000 $ 105.48 Donald C. Opatrny, Jr. April 1, 2004 10,000 $ 105.48 Joseph Sassoon April 1, 2004 3,000 $ 105.48 Howard A. Silverstein April 1, 2004 5,000 $ 105.48 John R. Tormondsen April 1, 2004 5,000 $ 105.48 Malcolm B. Turnbull April 1, 2004 6,233 $ 105.48 George W. Wellde, Jr. April 1, 2004 25,000 $ 105.48 Jeffrey B. Goldenberg April 2, 2004 5,000 $ 105.71 Francis J. Ingrassia April 2, 2004 5,000 $ 105.71 David G. Lambert April 2, 2004 2,500 $ 105.71 Sharmin Mossavar-Rahmani April 2, 2004 10,000 $ 105.71 Donald C. Opatrny, Jr. April 2, 2004 10,000 $ 105.71 Stuart M. Rothenberg April 2, 2004 30,000 $ 105.71 Steven M. Shafran April 2, 2004 10,000 $ 105.71 Howard A. Silverstein April 2, 2004 6,000 $ 105.71 Pieter Maarten Feenstra April 5, 2004 7,500 $ 105.70 David B. Heller April 5, 2004 7,837 $ 105.70 David G. Lambert April 5, 2004 2,500 $ 105.70 Joseph Sassoon April 5, 2004 2,500 $ 105.70 Howard A. Silverstein April 5, 2004 5,000 $ 105.70 Claudio Costamagna April 6, 2004 11,005 $ 105.46 Pieter Maarten Feenstra April 6, 2004 7,500 $ 105.46 Chansoo Joung April 6, 2004 20,000 $ 105.46 Joseph Sassoon April 6, 2004 2,000 $ 105.46 Charles B. Seelig, Jr. April 6, 2004 4,000 $ 105.46 Howard A. Silverstein April 6, 2004 5,000 $ 105.46 Timothy D. Dattels April 7, 2004 10,000 $ 105.16 Gavyn Davies April 7, 2004 50,000 $ 105.16 Pieter Maarten Feenstra April 7, 2004 1,731 $ 105.16 Pieter Maarten Feenstra April 7, 2004 6,368 $ 105.16 Chansoo Joung April 7, 2004 15,000 $ 105.16 Peter J. Layton April 7, 2004 1,000 $ 105.16 Howard A. Silverstein April 7, 2004 5,000 $ 105.16 George W. Wellde, Jr. April 7, 2004 25,000 $ 105.16 Tracy R. Wolstencroft April 7, 2004 25,000 $ 105.16 Pieter Maarten Feenstra April 8, 2004 7,500 $ 105.93 Peter C. Gerhard April 8, 2004 71,098 $ 105.93 Peter J. Layton April 8, 2004 1,000 $ 105.93 Joseph Sassoon April 8, 2004 2,000 $ 105.93 Howard A. Silverstein April 8, 2004 5,000 $ 105.93 Philip M. Darivoff April 12, 2004 5,000 $ 105.92 Peter J. Layton April 12, 2004 1,000 $ 105.92 Michael R. Lynch April 12, 2004 7,000 $ 105.92 Howard A. Silverstein April 12, 2004 5,000 $ 105.92 George W. Wellde, Jr. April 12, 2004 10,000 $ 105.92 E. Gerald Corrigan April 13, 2004 20,000 $ 104.00 Philip M. Darivoff April 13, 2004 10,000 $ 104.00 Pieter Maarten Feenstra April 13, 2004 7,500 $ 104.00 Peter C. Gerhard April 13, 2004 30,681 $ 104.00 Chansoo Joung April 13, 2004 15,000 $ 104.00 Joseph Sassoon April 13, 2004 2,000 $ 104.00 Howard A. Silverstein April 13, 2004 6,000 $ 104.00 Hsueh J. Sung April 13, 2004 10,000 $ 104.00 Gary W. Williams April 13, 2004 10,000 $ 104.00 Robert Litterman April 14, 2004 10,000 $ 101.64 Howard A. Silverstein April 14, 2004 4,000 $ 101.64 Tracy R. Wolstencroft April 14, 2004 25,000 $ 101.64 Scott S. Prince April 15, 2004 5,754 $ 101.25 Howard A. Silverstein April 15, 2004 5,000 $ 101.25 David B. Heller April 16, 2004 10,000 $ 102.77 Chansoo Joung April 16, 2004 20,000 $ 102.77 Terence M. O'Toole April 16, 2004 25,000 $ 102.77 Howard A. Silverstein April 16, 2004 5,000 $ 102.77 Tracy R. Wolstencroft April 16, 2004 25,000 $ 102.77 Jide J. Zeitlin April 16, 2004 26,956 $ 102.77 David B. Heller April 19, 2004 10,000 $ 102.31 Terence J. O'Neill April 19, 2004 50,000 $ 102.31 Terence M. O'Toole April 19, 2004 50,000 $ 102.31 Scott S. Prince April 19, 2004 5,000 $ 102.31 Ralph F. Rosenberg April 19, 2004 70,000 $ 102.31 Joseph Sassoon April 19, 2004 2,000 $ 102.31 Howard A. Silverstein April 19, 2004 5,000 $ 102.31 E. Gerald Corrigan April 20, 2004 10,000 $ 101.69 Philip M. Darivoff April 20, 2004 10,000 $ 101.69 David B. Heller April 20, 2004 10,000 $ 101.69 Francis J. Ingrassia April 20, 2004 5,000 $ 101.69 Chansoo Joung April 20, 2004 15,000 $ 101.69 Robert Litterman April 20, 2004 13,763 $ 101.69 Michael R. Lynch April 20, 2004 10,000 $ 101.69 Donald C. Opatrny, Jr. April 20, 2004 10,000 $ 101.69 Scott S. Prince April 20, 2004 5,000 $ 101.69 Joseph Sassoon April 20, 2004 1,350 $ 101.69 Howard A. Silverstein April 20, 2004 5,000 $ 101.69 Gene T. Sykes April 20, 2004 25,000 $ 101.69 Tracy R. Wolstencroft April 20, 2004 25,000 $ 101.69 Philip M. Darivoff April 21, 2004 10,000 $ 100.01 Joseph Della Rosa April 21, 2004 25,000 $ 100.01 Michael R. Lynch April 21, 2004 7,500 $ 100.01 Howard A. Silverstein April 21, 2004 3,000 $ 100.01 Tracy R. Wolstencroft April 21, 2004 25,000 $ 100.01 Joseph Della Rosa April 22, 2004 25,000 $ 101.13 Chansoo Joung April 22, 2004 20,000 $ 101.13 Michael R. Lynch April 22, 2004 10,000 $ 101.13 Eric M. Mindich April 22, 2004 20,000 $ 101.13 Terence J. O'Neill April 22, 2004 40,000 $ 101.13 Terence M. O'Toole April 22, 2004 6,993 $ 101.13 Terence M. O'Toole April 22, 2004 20,000 $ 101.13 Howard B. Schiller April 22, 2004 10,000 $ 101.13 Charles B. Seelig, Jr. April 22, 2004 4,000 $ 101.13 Howard A. Silverstein April 22, 2004 2,000 $ 101.13 Daniel W. Stanton April 22, 2004 20,000 $ 101.13 Thomas B. Walker III April 22, 2004 5,000 $ 101.13 Tracy R. Wolstencroft April 22, 2004 25,000 $ 101.13 Pieter Maarten Feenstra April 23, 2004 14,703 $ 100.30 Jeffrey B. Goldenberg April 23, 2004 10,000 $ 100.30 David L. Henle April 23, 2004 10,000 $ 100.30 Francis J. Ingrassia April 23, 2004 10,000 $ 100.30 Chansoo Joung April 23, 2004 20,000 $ 100.30 Jonathan M. Lopatin April 23, 2004 10,076 $ 100.30 Michael R. Lynch April 23, 2004 7,500 $ 100.30 Eric M. Mindich April 23, 2004 10,000 $ 100.30 Donald C. Opatrny, Jr. April 23, 2004 20,000 $ 100.30 Terence M. O'Toole April 23, 2004 80,000 $ 100.30 Stuart M. Rothenberg April 23, 2004 20,000 $ 100.30 Joseph Sassoon April 23, 2004 1,500 $ 100.30 Charles B. Seelig, Jr. April 23, 2004 4,000 $ 100.30 Howard A. Silverstein April 23, 2004 3,000 $ 100.30 Hsueh J. Sung April 23, 2004 10,000 $ 100.30 Mark R. Tercek April 23, 2004 25,000 $ 100.30 Thomas B. Walker III April 23, 2004 10,000 $ 100.30 George W. Wellde, Jr. April 23, 2004 15,000 $ 100.30 Gary W. Williams April 23, 2004 15,068 $ 100.30 Other Sales Avi M. Nash March 11, 2004 3,000 $ 104.84 Fredric E. Steck March 12, 2004 1,000 $ 104.30 Michael J. Zamkow March 16, 2004 10,000 $ 104.50 Jacob D. Goldfield March 18, 2004 20,721 $ 103.23 Donald F. Textor March 18, 2004 20,000 $ 102.93 Avi M. Nash March 23, 2004 3,000 $ 101.90 Fredric E. Steck March 23, 2004 1,000 $ 101.97 Sharon I. Meers March 24, 2004 2,046 $ 99.51 Mark E. McGoldrick March 24, 2004 54,366 $ 99.51 Claire M. Ngo March 24, 2004 500 $ 99.51 Shunji Katayama March 24, 2004 2,741 $ 99.51 Nicolas F. Tiffou March 24, 2004 573 $ 99.51 Charles P. Eve March 24, 2004 1,500 $ 99.51 Robert D. Hormats March 24, 2004 1,000 $ 99.51 Phillip S. Hylander March 24, 2004 11,590 $ 99.51 Terry P. Hughes March 24, 2004 1,000 $ 99.51 James A. Jacobson March 24, 2004 4,361 $ 99.51 Robert J. Katz March 24, 2004 20,407 $ 100.87 Joseph D. Gutman March 24, 2004 5,000 $ 101.50 John P. Rustum March 24, 2004 25 $ 101.46 Rie Shiga Murayama March 25, 2004 460 $ 100.73 David J. Grounsell March 25, 2004 383 $ 100.73 Juan A. Del Rivero March 25, 2004 1,996 $ 100.73 Richard J. Rosenstein March 25, 2004 1,200 $ 100.73 Peter J. Layton March 25, 2004 651 $ 100.73 Robert J. Katz March 25, 2004 20,000 $ 100.05 Daniel M. Neidich March 25, 2004 10 $ 100.00 Sharon I. Meers March 26, 2004 1,000 $ 103.26 Luciana D. Miranda March 26, 2004 1,120 $ 103.26 62
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- David J. Greenwald March 26, 2004 1,000 $ 103.26 Claire M. Ngo March 26, 2004 416 $ 103.26 Yi Kevin Zhang March 26, 2004 5,498 $ 103.26 Robert D. Henderson March 26, 2004 5,192 $ 103.26 Charles P. Eve March 26, 2004 1,511 $ 103.26 Richard T. Roberts March 26, 2004 260 $ 103.26 David J. Scudellari March 26, 2004 8,680 $ 103.26 Michael A. Troy March 26, 2004 32,800 $ 103.26 J. David Rogers March 26, 2004 10,000 $ 103.58 Jeffrey A. Resnick March 29, 2004 200 $ 104.36 H. John Gilbertson, Jr. March 29, 2004 4,695 $ 104.36 Matthias K. Frisch March 29, 2004 800 $ 104.36 Scott A. Gieselman March 29, 2004 4,117 $ 104.36 Sharon I. Meers March 29, 2004 1,000 $ 104.36 Steven M. Pinkos March 29, 2004 709 $ 104.36 John W. Ziegler March 29, 2004 1,325 $ 104.36 Donald J. Truesdale March 29, 2004 2,164 $ 104.36 Michael G. De Lathauwer March 29, 2004 4,158 $ 104.36 Thomas G. Connolly March 29, 2004 2,954 $ 104.36 Jason R. Anderson March 29, 2004 500 $ 104.36 Louis S. Greig March 29, 2004 937 $ 104.36 John D. Bertuzzi March 29, 2004 5,000 $ 104.36 Charles P. Eve March 29, 2004 1,000 $ 104.36 Richard O. Leggett March 29, 2004 3,169 $ 104.36 Nigel M. O'Sullivan March 29, 2004 1,394 $ 104.36 Julian R. Metherell March 29, 2004 581 $ 104.36 Stephen H. Frank March 29, 2004 5,600 $ 104.49 Erland S. Karlsson March 29, 2004 4,440 $ 104.35 Michael J. Zamkow March 29, 2004 10,000 $ 105.00 Archie W. Parnell March 29, 2004 100 $ 104.19 Archie W. Parnell* March 29, 2004 100 $ 104.19 Tetsufumi Yamakawa March 30, 2004 1,426 $ 103.93 John S. Daly March 30, 2004 500 $ 103.93 David J. Grounsell March 30, 2004 200 $ 103.93 Sharon I. Meers March 30, 2004 1,605 $ 103.93 Brahm S. Cramer March 30, 2004 4,646 $ 103.93 Marc P. Savini March 30, 2004 4,127 $ 103.93 Theodore T. Wang March 30, 2004 414 $ 103.93 Kevin M. Jordan March 30, 2004 549 $ 103.93 Mark Howard-Johnson March 30, 2004 3,065 $ 103.93 Stephen M. Thurer March 30, 2004 740 $ 103.93 Celeste A. Guth March 30, 2004 1,500 $ 103.93 Johannes R. Sulzberger March 30, 2004 249 $ 103.93 Duncan L. Niederauer March 30, 2004 4,000 $ 103.93 Nigel M. O'Sullivan March 30, 2004 321 $ 103.93 Alexander Classen March 30, 2004 423 $ 103.93 Philip J. Kopp March 30, 2004 5,187 $ 103.93 Erland S. Karlsson March 30, 2004 4,440 $ 103.92 Philip D. Murphy March 30, 2004 50,000 $ 103.93 David M. Atkinson March 31, 2004 1,000 $ 104.20 -------- * Purchased through an entity over which the Covered Person had shared investment authority. 63
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Bruce M. Larson March 31, 2004 4,819 $ 104.20 Jeffrey F. Fastov March 31, 2004 2,500 $ 104.20 John J. Bu March 31, 2004 1,000 $ 104.20 Matthias K. Frisch March 31, 2004 1,000 $ 104.20 Douglas A. Guzman March 31, 2004 6,198 $ 104.20 John E. Eisenberg March 31, 2004 1,500 $ 104.20 Sharon I. Meers March 31, 2004 1,500 $ 104.20 Melina E. Higgins March 31, 2004 5,507 $ 104.20 Mark E. McGoldrick March 31, 2004 11,000 $ 104.20 Marc P. Savini March 31, 2004 9,270 $ 104.20 David J. Greenwald March 31, 2004 1,000 $ 104.20 Stefan Green March 31, 2004 3,000 $ 104.20 John D. Bertuzzi March 31, 2004 2,416 $ 104.20 David H. Tenney March 31, 2004 6,004 $ 104.20 Mark Carroll March 31, 2004 5,000 $ 104.20 Stephen H. Frank March 31, 2004 5,029 $ 104.24 Erland S. Karlsson March 31, 2004 4,440 $ 104.20 Clifton P. Rose April 1, 2004 5,232 $ 105.48 William L. Jacob III April 1, 2004 1,357 $ 105.48 Daisuke Toki April 1, 2004 1,000 $ 105.48 Sharon I. Meers April 1, 2004 1,500 $ 105.48 Susan J. Scher April 1, 2004 300 $ 105.48 Alvaro del Castano April 1, 2004 1,606 $ 105.48 Barry A. Mannis April 1, 2004 9,428 $ 105.48 David H. Dase April 1, 2004 1,000 $ 105.48 Timothy J. Bridges April 1, 2004 200 $ 105.48 Jesus A. Arias April 1, 2004 392 $ 105.48 James P. Kenney April 1, 2004 200 $ 105.48 John A. Mahoney April 1, 2004 5,085 $ 105.48 Erland S. Karlsson April 1, 2004 4,440 $ 105.46 Fredric E. Steck April 1, 2004 1,000 $ 105.66 Michael J. Zamkow April 1, 2004 10,000 $ 105.53 John J. Bu April 2, 2004 1,000 $ 105.71 Andrew C. Devenport April 2, 2004 500 $ 105.71 John E. Eisenberg April 2, 2004 2,000 $ 105.71 Sharon I. Meers April 2, 2004 1,238 $ 105.71 Scott B. Ullem April 2, 2004 888 $ 105.71 Craig W. Broderick April 2, 2004 4,300 $ 105.71 Fergal J. O'Driscoll April 2, 2004 200 $ 105.71 Richard J. Rosenstein April 2, 2004 1,000 $ 105.71 Anthony H. Carpet April 2, 2004 4,768 $ 105.71 Ellen R. Porges April 2, 2004 150 $ 105.71 Jana Hale Doty April 2, 2004 1,500 $ 105.71 Thomas M. Dowling April 2, 2004 795 $ 105.71 David J. Greenwald April 2, 2004 353 $ 105.71 Jason R. Anderson April 2, 2004 250 $ 105.71 Christopher H. Turner April 2, 2004 937 $ 105.71 John D. Bertuzzi April 2, 2004 536 $ 105.71 Susan E. Sidd April 2, 2004 1,600 $ 105.71 Neil Z. Auerbach April 2, 2004 500 $ 105.71 Richard O. Leggett April 2, 2004 1,000 $ 105.71 Stephen C. Lichtenauer April 2, 2004 510 $ 105.71 Jean Raby April 2, 2004 500 $ 105.71 64
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Richard A. Murley April 2, 2004 2,750 $ 105.71 Charles W.A. Bott April 2, 2004 1,580 $ 105.71 Erland S. Karlsson April 2, 2004 4,440 $ 105.70 Fredric E. Steck April 2, 2004 1,000 $ 107.17 Gioia M. Kennett April 5, 2004 350 $ 105.70 Tetsufumi Yamakawa April 5, 2004 621 $ 105.70 John J. Bu April 5, 2004 500 $ 105.70 Matthias K. Frisch April 5, 2004 800 $ 105.70 Barry S. Turkanis April 5, 2004 3,238 $ 105.70 Randolph Sesson, Jr. April 5, 2004 1,900 $ 105.70 Timothy B. Bunting April 5, 2004 7,000 $ 105.70 Kevin M. Jordan April 5, 2004 500 $ 105.70 Daniel M. FitzPatrick April 5, 2004 300 $ 105.70 Louisa G. Ritter April 5, 2004 284 $ 105.70 Nigel M. O'Sullivan April 5, 2004 1,248 $ 105.70 Charles W.A. Bott April 5, 2004 2,000 $ 105.70 Mark J. Tracey April 6, 2004 8,000 $ 105.46 Tetsufumi Yamakawa April 6, 2004 3,973 $ 105.46 Jon A. Woodruff April 6, 2004 2,000 $ 105.46 Jonathan S. King April 6, 2004 1,020 $ 105.46 Scott B. Ullem April 6, 2004 485 $ 105.46 Kurt D. Winkelmann April 6, 2004 3,223 $ 105.46 Hsueh-Ming Wang April 6, 2004 10,429 $ 105.46 Douglas D. Moffitt April 6, 2004 1,000 $ 105.46 Stefan Green April 6, 2004 2,468 $ 105.46 Andrew R. Jessop April 6, 2004 1,207 $ 105.46 Timothy J. Bridges April 6, 2004 200 $ 105.46 Mary L. Harmon April 6, 2004 493 $ 105.46 Ian Mukherjee April 6, 2004 2,000 $ 105.46 Gerald C. McNamara, Jr. April 6, 2004 1,000 $ 105.46 David J. Grounsell April 7, 2004 400 $ 105.16 George C. Strachan April 7, 2004 3,379 $ 105.16 Melissa R. Brown April 7, 2004 52 $ 105.16 Toshinobu Kasai April 7, 2004 1,079 $ 105.16 Peter J. Layton April 7, 2004 1,000 $ 105.16 Edward A. Mule April 7, 2004 15,000 $ 105.27 Fredric E. Steck April 7, 2004 1,000 $ 105.20 John J. Bu April 8, 2004 1,000 $ 105.93 Daniel H. Klebes II April 8, 2004 14,850 $ 105.93 John E. Eisenberg April 8, 2004 1,500 $ 105.93 Scott B. Ullem April 8, 2004 2,978 $ 105.93 Gary B. Schermerhorn April 8, 2004 4,728 $ 105.93 Jason S. Kaplan April 8, 2004 9,434 $ 105.93 Joseph Ravitch April 8, 2004 1,000 $ 105.93 Gilberto Pozzi April 8, 2004 1,727 $ 105.93 Kevin M. Jordan April 8, 2004 500 $ 105.93 Richard P. McNeil April 8, 2004 1,757 $ 105.93 Lucas van Praag April 8, 2004 4,602 $ 105.93 Ronald K. Tanemura April 8, 2004 3,500 $ 105.93 Peter J. Layton April 8, 2004 1,000 $ 105.93 Robert J. Katz April 8, 2004 50,000 $ 105.40 T. Willem Mesdag April 8, 2004 5,755 $ 106.03 Edward A. Mule April 8, 2004 13,000 $ 106.07 65
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Barry L. Zubrow April 8, 2004 25,000 $ 106.08 Edward S. Misrahi April 12, 2004 1,268 $ 105.92 Andrew L. Metcalfe April 12, 2004 4,607 $ 105.92 Hideya Niimi April 12, 2004 1,066 $ 105.92 Bruce J. Evans April 12, 2004 3,750 $ 105.92 Mark E. McGoldrick April 12, 2004 10,429 $ 105.92 Robert G. Hottensen, Jr. April 12, 2004 500 $ 105.92 John L. Kelly April 12, 2004 1,300 $ 105.92 Allan S. Marson April 12, 2004 1,000 $ 105.92 Peter J. Layton April 12, 2004 1,000 $ 105.92 Robert J. Katz April 12, 2004 25,000 $ 105.81 Fredric E. Steck April 12, 2004 2,000 $ 105.86 Andrew L. Metcalfe April 13, 2004 4,253 $ 104.00 Victoria A. Bridges April 13, 2004 487 $ 104.00 Audrey A. McNiff April 13, 2004 1,790 $ 104.00 John J. Bu April 13, 2004 1,000 $ 104.00 William L. Jacob III April 13, 2004 7,562 $ 104.00 John S. Daly April 13, 2004 332 $ 104.00 Bruce J. Evans April 13, 2004 2,000 $ 104.00 Mark S. Weiss April 13, 2004 2,179 $ 104.00 Shelley A. Hartman April 13, 2004 13,654 $ 104.00 Scott B. Ullem April 13, 2004 807 $ 104.00 Robert S. Mancini April 13, 2004 231 $ 104.00 Bonnie S. Litt April 13, 2004 432 $ 104.00 Luciana D. Miranda April 13, 2004 2,000 $ 104.00 Thomas J. Houle April 13, 2004 970 $ 104.00 Jason R. Anderson April 13, 2004 215 $ 104.00 Raymond J. Iwanowski April 13, 2004 2,070 $ 104.00 Oral W. Dawe April 13, 2004 6,104 $ 104.00 Robert G. Hottensen, Jr. April 13, 2004 500 $ 104.00 David K. Kaugher April 13, 2004 1,697 $ 104.00 Daniel M. Neidich April 13, 2004 100,000 $ 103.12 Fredric E. Steck April 13, 2004 2,000 $ 104.58 Blake W. Mather April 14, 2004 2,561 $ 101.64 Robert G. Hottensen, Jr. April 14, 2004 500 $ 101.64 Celeste A. Guth April 14, 2004 1,000 $ 101.64 Kathleen M. Maloney April 14, 2004 5,002 $ 101.64 Edward A. Mule April 14, 2004 3,000 $ 102.50 Fredric E. Steck April 14, 2004 1,000 $ 101.69 Fredric E. Steck April 14, 2004 4,000 $ 102.50 Timothy B. Bunting April 15, 2004 4,000 $ 101.25 Robert K. Frumkes April 15, 2004 2,000 $ 101.25 John J. McCabe April 15, 2004 300 $ 101.25 Joseph Ravitch April 15, 2004 333 $ 101.25 Simon Y. Park April 15, 2004 405 $ 101.25 Guillermo Garcia April 15, 2004 3,165 $ 101.25 Stephen D. Daniel April 15, 2004 2,609 $ 101.25 John W. Curtis April 15, 2004 716 $ 101.25 Robert G. Hottensen, Jr. April 15, 2004 500 $ 101.25 Michael J. Zamkow April 15, 2004 5,000 $ 100.31 Linda M. Fox April 16, 2004 350 $ 102.77 Scott B. Barringer April 16, 2004 1,527 $ 102.77 Hideya Niimi April 16, 2004 1,182 $ 102.77 66
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Stephen S. Trevor April 16, 2004 8,000 $ 102.77 John E. Eisenberg April 16, 2004 1,668 $ 102.77 Jeffrey P. Nedelman April 16, 2004 1,918 $ 102.77 Hugh J. Lawson April 16, 2004 226 $ 102.77 John D. Bertuzzi April 16, 2004 761 $ 102.77 Ian Mukherjee April 16, 2004 1,244 $ 102.77 David E. Cantillon April 16, 2004 365 $ 102.77 David G. Dick April 16, 2004 1,227 $ 102.77 P. Sheridan Schechner April 16, 2004 2,702 $ 102.77 Robert J. Hurst April 16, 2004 20,000 $ 90.00 Gavyn Davies April 16, 2004 200,000 $ 102.27 J. David Rogers April 16, 2004 28,700 $ 100.00 Arthur J. Reimers III April 16, 2004 12,500 $ 100.00 Arthur J. Reimers III April 16, 2004 65,000 $ 102.94 Michael P. Esposito April 19, 2004 8,858 $ 102.31 Yukihiro Moroe April 19, 2004 2,000 $ 102.31 Michael G. De Lathauwer April 19, 2004 3,000 $ 102.31 C. Douglas Fuge April 19, 2004 5,000 $ 102.31 Robert G. Hottensen, Jr. April 19, 2004 500 $ 102.31 John L. Kelly April 19, 2004 150 $ 102.31 Paul R. Harvey April 19, 2004 8,899 $ 102.31 Daniel M. Neidich April 19, 2004 100,000 $ 102.21 Scott B. Barringer April 20, 2004 969 $ 101.69 Rie Shiga Murayama April 20, 2004 183 $ 101.69 John J. Bu April 20, 2004 500 $ 101.69 James J. Birch April 20, 2004 2,000 $ 101.69 Richard Katz April 20, 2004 2,134 $ 101.69 Andrew S. Berman April 20, 2004 2,480 $ 101.69 Christopher S. Wendel April 20, 2004 500 $ 101.69 Frederick G. Van Zijl April 20, 2004 1,100 $ 101.69 C. Douglas Fuge April 20, 2004 2,465 $ 101.69 Charles P. Eve April 20, 2004 1,000 $ 101.69 Michael J. Crinieri April 20, 2004 200 $ 101.69 Christopher M. Grigg April 20, 2004 1,048 $ 101.69 Thomas J. Healey April 20, 2004 20,012 $ 101.78 John S. Daly April 21, 2004 1,460 $ 100.01 Philip Holzer April 21, 2004 632 $ 100.01 Barry A. Mannis April 21, 2004 3,500 $ 100.01 Douglas D. Moffitt April 21, 2004 1,000 $ 100.01 Gilberto Pozzi April 21, 2004 44 $ 100.01 Philip A. Cooper April 21, 2004 3,000 $ 100.01 Tobin V. Levy April 21, 2004 1,107 $ 100.01 William C. Montgomery April 21, 2004 9,567 $ 100.01 Nigel M. O'Sullivan April 21, 2004 654 $ 100.01 Svein R. Hogset April 21, 2004 251 $ 100.01 John O. Downing April 21, 2004 5,000 $ 99.15 Juliet A. Robinson April 22, 2004 1,684 $ 101.13 Michael R. Miele April 22, 2004 1,618 $ 101.13 Kirk L. Rimer April 22, 2004 730 $ 101.13 Thomas J. Houle April 22, 2004 400 $ 101.13 Francisco Lopez-Balboa April 22, 2004 4,600 $ 101.13 Arun M. Gunewardena April 22, 2004 265 $ 101.13 Mairtin Brady April 22, 2004 886 $ 101.13 67
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[Download Table] COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE -------------------------------------------------------------------------------- Hugh J. Lawson April 22, 2004 53 $ 101.13 Haruko Watanuki April 22, 2004 556 $ 101.13 Ian Mukherjee April 22, 2004 2,794 $ 101.13 Andrea Ponti April 22, 2004 1,928 $ 101.13 Robert G. Hottensen, Jr. April 22, 2004 500 $ 101.13 Philip D. Murphy April 22, 2004 50,000 $ 102.00 Katsunori Sago April 23, 2004 5,337 $ 100.30 Michael M. Smith April 23, 2004 6,500 $ 100.30 David M. Atkinson April 23, 2004 2,000 $ 100.30 P. Jeremy Lewis April 23, 2004 3,433 $ 100.30 Audrey A. McNiff April 23, 2004 1,789 $ 100.30 Robert D. Gottlieb April 23, 2004 636 $ 100.30 Charles G.R. Manby April 23, 2004 2,000 $ 100.30 John J. Vaske April 23, 2004 582 $ 100.30 John E. Eisenberg April 23, 2004 1,400 $ 100.30 Keith R. Wills April 23, 2004 200 $ 100.30 Bonnie S. Litt April 23, 2004 500 $ 100.30 Stuart N. Bernstein April 23, 2004 500 $ 100.30 Barry A. Mannis April 23, 2004 4,370 $ 100.30 Robert K. Frumkes April 23, 2004 2,000 $ 100.30 Robert K. Ehudin April 23, 2004 500 $ 100.30 Mark E. Leydecker April 23, 2004 1,346 $ 100.30 Douglas D. Moffitt April 23, 2004 1,994 $ 100.30 Gilberto Pozzi April 23, 2004 1,487 $ 100.30 Mairtin Brady April 23, 2004 885 $ 100.30 Turner,Christopher H April 23, 2004 1,000 $ 100.30 Gregory T. Mount April 23, 2004 3,644 $ 100.30 John W. Curtis April 23, 2004 504 $ 100.30 David D. Wildermuth April 23, 2004 100 $ 100.30 Zi Wang Xu April 23, 2004 10,192 $ 100.30 Remco O. Lenterman April 23, 2004 942 $ 100.30 Edward A. Hazel April 23, 2004 300 $ 100.30 James P. Kenney April 23, 2004 300 $ 100.30 Robert G. Hottensen, Jr. April 23, 2004 1,000 $ 100.30 Anthony J. Principato April 23, 2004 750 $ 100.30 Celeste A. Guth April 23, 2004 3,104 $ 100.30 Gwen R. Libstag April 23, 2004 16,400 $ 100.30 Stephen C. Lichtenauer April 23, 2004 515 $ 100.30 Geraldine F. McManus April 23, 2004 2,463 $ 100.30 Pierre-Henri Flamand April 23, 2004 177 $ 100.30 Donald J. Mulvihill April 23, 2004 1,000 $ 100.30 Ronald K. Tanemura April 23, 2004 3,000 $ 100.30 Daniel M. Neidich April 23, 2004 50,000 $ 100.44 On March 19, 2004, an Individual Covered Person sold 32,500 Uncovered Shares at a price of $99.25 per share through a subsidiary of GS Inc. for cash on the New York Stock Exchange. On April 6, 2004, 156,969 Covered Shares were credited to an Individual Covered Person's account as a result of an erroneous sale of the same amount on January 16, 2004. The Covered Persons listed below participate in the Common Stock fund of The Goldman Sachs Employees' Profit Sharing Retirement Income Plan. These Covered Persons acquired interests in the Common Stock fund representing the number of shares of Common Stock set forth below. These shares are Uncovered Shares. 68
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[Enlarge/Download Table] ACQUISITION OR NUMBER OF COVERED PERSON DISPOSITION TRANSACTION DATE SHARES PRICE PER SHARE ------------------------------------------------------------------------------------------------------------------- Thomas V. Conigliaro Acquisition March 15, 2004 1 $102.82 Edward A. Hazel Acquisition March 15, 2004 1 $102.82 Thomas J. McAdam Acquisition March 15, 2004 1 $102.82 Richard T. Roberts Acquisition March 15, 2004 1 $102.82 Thomas V. Conigliaro Acquisition March 31, 2004 1 $104.35 Edward A. Hazel Acquisition March 31, 2004 1 $104.35 Thomas J. McAdam Acquisition March 31, 2004 1 $104.35 Kevin D. Naughton Acquisition March 31, 2004 383 $104.35 Richard T. Roberts Acquisition March 31, 2004 1 $104.35 Thomas P. Takacs Acquisition April 12, 2004 55 $105.82 Thomas V. Conigliaro Acquisition April 15, 2004 1 $101.73 Edward A. Hazel Acquisition April 15, 2004 1 $101.73 Thomas J. McAdam Acquisition April 15, 2004 1 $101.73 Richard T. Roberts Acquisition April 15, 2004 1 $101.73 Randall S. Burkett Acquisition April 23, 2004 1 $100.41 W. Reed Chisholm II Acquisition April 23, 2004 2 $100.41 Thomas V. Conigliaro Acquisition April 23, 2004 2 $100.41 William J. Conley, Jr. Acquisition April 23, 2004 2 $100.41 Edward A. Hazel Acquisition April 23, 2004 3 $100.41 Robert G. Hottensen, Jr. Acquisition April 23, 2004 2 $100.41 Peter T. Johnston Acquisition April 23, 2004 2 $100.41 Colin E. King Acquisition April 23, 2004 2 $100.41 Lisette M. Lieberman Acquisition April 23, 2004 2 $100.41 Thomas J. McAdam Acquisition April 23, 2004 1 $100.41 Kevin D. Naughton Acquisition April 23, 2004 1 $100.41 Arthur J. Peponis Acquisition April 23, 2004 1 $100.41 Anthony J. Principato Acquisition April 23, 2004 1 $100.41 Richard T. Roberts Acquisition April 23, 2004 1 $100.41 Allen Sangines-Krause Acquisition April 23, 2004 1 $100.41 Thomas P. Takacs Acquisition April 23, 2004 3 $100.41 The following cashless exercises of stock options were effected by the following Covered Persons, with the indicated number of underlying shares sold through an affiliate of Mellon Investor Services LLC for cash on the New York Stock Exchange: [Enlarge/Download Table] NUMBER NUMBER NUMBER DATE OF OF SALES OF SHARES OF SHARES COVERED PERSON EXERCISE OPTIONS STRIKE PRICE PRICE SOLD RETAINED ------------------------------------------------------------------------------------------------------- Matthew S. Darnall March 24, 2004 2,500 $53.00 $ 99.24 2,500 0 Louis S. Greig March 24, 2004 5,000 $53.00 $ 99.24 3,674 1,326 Louis S. Greig March 24, 2004 6,567 $82.88 $ 99.24 5,992 575 Daniel H. Klebes II * March 24, 2004 16,200 $53.00 N/A 0 16,200 Simon Y. Park March 24, 2004 2,142 $53.00 $ 99.24 1,558 584 Michael A. Troy March 24, 2004 8,772 $53.00 $ 99.24 8,772 0 Christopher G. Williams March 24, 2004 30,340 $53.00 $ 99.24 30,340 0 Christopher G. Williams March 24, 2004 3,100 $53.00 $ 99.24 2,278 822 Matthew B. McLennan March 25, 2004 3,648 $53.00 $100.46 3,648 0 Mark E. McGoldrick March 26, 2004 50,000 $53.00 $102.94 35,402 14,598 -------- * This was a cash-for-stock exercise, not a cashless exercise. 69
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[Enlarge/Download Table] NUMBER NUMBER NUMBER DATE OF OF SALES OF SHARES OF SHARES COVERED PERSON EXERCISE OPTIONS STRIKE PRICE PRICE SOLD RETAINED ----------------------------------------------------------------------------------------------------------- John D. Campbell March 29, 2004 336 $53.00 $104.15 336 0 Matthias K. Frisch March 29, 2004 784 $82.88 $104.15 784 0 Eiichiro Kuwana March 29, 2004 1,000 $53.00 $104.15 1,000 0 Robert A. McTamaney March 29, 2004 30,195 $53.00 $104.15 30,195 0 Marc O. Nachmann March 29, 2004 1,500 $82.88 $104.15 1,500 0 Diego De Giorgi March 30, 2004 6,967 $53.00 $103.81 6,967 0 Francois-Xavier de Mallmann March 30, 2004 1,200 $53.00 $103.81 1,200 0 Francois-Xavier de Mallmann March 30, 2004 599 $53.00 $103.81 429 170 Timothy M. Kingston March 30, 2004 6,957 $82.88 $103.81 6,957 0 Stephen J. McGuinness March 30, 2004 64,500 $53.00 $103.81 64,500 0 Ivan Ross March 30, 2004 2,500 $53.00 $103.81 2,500 0 P. Sheridan Schechner March 30, 2004 1,000 $53.00 $103.81 1,000 0 Barry S. Turkanis March 30, 2004 13,153 $53.00 $103.81 8,819 4,334 Christopher H. Turner March 30, 2004 4,000 $53.00 $103.81 2,729 1,271 Jon A. Woodruff March 30, 2004 10,000 $53.00 $103.81 6,876 3,124 John D. Campbell March 31, 2004 1,000 $53.00 $104.08 681 319 John W. McMahon March 31, 2004 41,969 $53.00 $104.08 41,969 0 Edward S. Misrahi March 31, 2004 3,000 $53.00 $104.08 3,000 0 Marc O. Nachmann March 31, 2004 1,500 $82.88 $104.08 1,500 0 Scott B. Ullem March 31, 2004 3,500 $53.00 $104.08 2,292 1,208 Scott B. Ullem March 31, 2004 4,479 $82.88 $104.08 3,842 637 Blake W. Mather April 1, 2004 12,430 $53.00 $105.39 8,832 3,598 Marc O. Nachmann April 1, 2004 1,000 $82.88 $105.39 1,000 0 Scott B. Ullem April 1, 2004 3,500 $53.00 $105.39 2,265 1,235 Tetsufumi Yamakawa April 1, 2004 18,674 $53.00 $105.39 12,768 5,906 Tetsufumi Yamakawa April 1, 2004 4,518 $82.88 $105.39 3,897 621 Jason R. Anderson April 2, 2004 1,000 $53.00 $106.03 1,000 0 Craig W. Broderick April 2, 2004 1,524 $53.00 $106.03 1,524 0 Christian Erickson April 2, 2004 2,000 $53.00 $106.03 2,000 0 Gail S. Fierstein April 2, 2004 2,061 $53.00 $106.03 2,061 0 Clifton P. Rose April 2, 2004 3,371 $53.00 $106.03 2,371 1,000 P. Sheridan Schechner April 2, 2004 8,523 $82.88 $106.03 8,523 0 Christopher H. Turner April 2, 2004 5,000 $53.00 $106.03 3,369 1,631 Scott B. Ullem April 2, 2004 9,000 $53.00 $106.03 5,830 3,170 John D. Bertuzzi April 5, 2004 7,500 $53.00 $105.65 7,500 0 John D. Bertuzzi April 5, 2004 3,000 $53.00 $105.65 2,022 978 John D. Campbell April 5, 2004 800 $53.00 $105.65 800 0 Anthony H. Carpet April 5, 2004 10,000 $53.00 $105.65 7,239 2,761 Michael G. De Lathauwer April 5, 2004 100 $53.00 $105.65 51 49 William C. Dudley April 5, 2004 2,076 $53.00 $105.65 2,076 0 Guillermo Garcia April 5, 2004 9,524 $53.00 $105.65 5,882 3,642 Guillermo Garcia April 5, 2004 2,652 $82.88 $105.65 2,114 538 Jason S. Kaplan April 5, 2004 43,529 $53.00 $105.65 30,468 13,061 William M. Quinn April 5, 2004 298 $53.00 $105.65 298 0 Ivan Ross April 5, 2004 2,500 $53.00 $105.65 2,500 0 Ivan Ross April 5, 2004 2,500 $53.00 $105.65 1,691 809 Gregg S. Weinstein April 5, 2004 12,643 $53.00 $105.65 12,643 0 Gregg S. Weinstein April 5, 2004 7,500 $82.88 $105.65 7,500 0 Philip A. Cooper April 6, 2004 5,000 $53.00 $105.41 5,000 0 70
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[Enlarge/Download Table] NUMBER NUMBER NUMBER DATE OF OF SALES OF SHARES OF SHARES COVERED PERSON EXERCISE OPTIONS STRIKE PRICE PRICE SOLD RETAINED ------------------------------------------------------------------------------------------------------- Michael P. Esposito April 6, 2004 41,241 $53.00 $105.41 28,946 12,295 William L. Jacob III April 6, 2004 35,000 $53.00 $105.41 24,522 10,478 Todd W. Leland April 6, 2004 3,500 $53.00 $105.41 3,500 0 Todd W. Leland April 6, 2004 1,300 $53.00 $105.41 847 453 Marc O. Nachmann April 6, 2004 1,000 $82.88 $105.41 1,000 0 Scott B. Ullem April 6, 2004 2,312 $53.00 $105.41 1,505 807 Katherine B. Enquist April 7, 2004 750 $53.00 $105.13 750 0 Joseph C. Marconi April 7, 2004 5,000 $53.00 $105.13 5,000 0 Audrey A. McNiff April 7, 2004 15,000 $53.00 $105.13 10,171 4,829 Andrew L. Metcalfe April 7, 2004 22,272 $53.00 $105.13 15,809 6,463 Joel D. Ospa April 7, 2004 4,000 $53.00 $105.13 4,000 0 John D. Bertuzzi April 8, 2004 14,000 $53.00 $105.80 14,000 0 John D. Bertuzzi April 8, 2004 6,000 $53.00 $105.80 4,024 1,976 John D. Campbell April 8, 2004 800 $53.00 $105.80 800 0 Stephen D. Daniel April 8, 2004 9,171 $53.00 $105.80 5,798 3,373 David G. Dick April 8, 2004 5,775 $53.00 $105.80 4,066 1,709 Mark E. McGoldrick April 8, 2004 35,000 $53.00 $105.80 24,571 10,429 Andrew L. Metcalfe April 8, 2004 20,000 $53.00 $105.80 14,081 5,919 John D. Campbell April 12, 2004 1,000 $53.00 $105.84 1,000 0 John D. Campbell April 12, 2004 500 $53.00 $105.84 337 163 Robert G. Hottensen, Jr. April 12, 2004 1,000 $53.00 $105.84 1,000 0 Kevin L. Lundeen April 12, 2004 10,638 $53.00 $105.84 10,638 0 Kevin L. Lundeen April 12, 2004 4,200 $53.00 $105.84 2,802 1,398 Girish V. Reddy April 12, 2004 20,808 $82.88 $105.84 20,808 0 Stephen S. Trevor April 12, 2004 40,748 $53.00 $105.84 29,346 11,402 John D. Bertuzzi April 13, 2004 12,000 $53.00 $103.53 12,000 0 John D. Bertuzzi April 13, 2004 5,878 $53.00 $103.53 4,040 1,838 Oral W. Dawe April 13, 2004 5,000 $53.00 $103.53 5,000 0 Pierre-Henri Flamand April 13, 2004 912 $53.00 $103.53 659 253 Linda M. Fox April 13, 2004 1,456 $53.00 $103.53 1,005 451 Linda M. Fox April 13, 2004 519 $82.88 $103.53 456 63 Robert G. Hottensen, Jr. April 13, 2004 1,000 $53.00 $103.53 1,000 0 Michael J. Millette April 13, 2004 7,089 $82.88 $103.53 6,225 864 Hideya Niimi April 13, 2004 5,000 $53.00 $103.53 3,507 1,493 Hideya Niimi April 13, 2004 3,174 $82.88 $103.53 2,804 370 Robert G. Hottensen, Jr. April 14, 2004 1,000 $53.00 $101.46 1,000 0 John L. Kelly April 14, 2004 7,200 $53.00 $101.46 7,200 0 John L. Kelly April 14, 2004 2,800 $53.00 $101.46 1,922 878 John W. McMahon April 14, 2004 40,000 $53.00 $101.46 40,000 0 Marc O. Nachmann April 14, 2004 1,000 $82.88 $101.46 1,000 0 Robert G. Hottensen, Jr. April 15, 2004 1,000 $53.00 $101.75 1,000 0 John D. Campbell April 16, 2004 1,680 $53.00 $102.14 1,680 0 Robert G. Hottensen, Jr. April 19, 2004 1,500 $53.00 $102.31 1,500 0 Ian Mukherjee April 19, 2004 3,700 $53.00 $102.31 3,700 0 Ian Mukherjee April 19, 2004 7,000 $53.00 $102.31 3,630 3,370 Gilberto Pozzi April 19, 2004 1,454 $53.00 $102.31 1,049 405 Gilberto Pozzi April 19, 2004 3,132 $53.00 $102.31 1,624 1,508 John D. Kramer April 20, 2004 435 $82.88 $101.50 435 0 Remco O. Lenterman April 20, 2004 2,394 $53.00 $101.50 1,252 1,142 Marc O. Nachmann April 20, 2004 1,089 $82.88 $101.50 1,089 0 Frederick G. Van Zijl April 20, 2004 5,523 $53.00 $101.50 5,523 0 71
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[Enlarge/Download Table] NUMBER NUMBER NUMBER DATE OF OF SALES OF SHARES OF SHARES COVERED PERSON EXERCISE OPTIONS STRIKE PRICE PRICE SOLD RETAINED ------------------------------------------------------------------------------------------------------- Philip A. Cooper April 21, 2004 5,000 $53.00 $100.07 5,000 0 Paulo C. Leme April 21, 2004 16,600 $53.00 $100.07 16,600 0 P. Sheridan Schechner April 21, 2004 4,000 $53.00 $100.07 4,000 0 P. Sheridan Schechner April 21, 2004 4,000 $53.00 $100.07 2,733 1,267 Greg W. Tebbe April 21, 2004 9,452 $53.00 $100.07 9,452 0 Timothy E. Hodgson April 22, 2004 24,426 $53.00 $101.03 24,426 0 Timothy E. Hodgson April 22, 2004 11,000 $53.00 $101.03 7,551 3,449 Robert G. Hottensen, Jr. April 22, 2004 1,500 $53.00 $101.03 1,500 0 Lawrence V. Calcano April 23, 2004 3,012 $53.00 $100.28 3,012 0 Lawrence V. Calcano* April 23, 2004 1 $53.00 $100.28 0 1 Armando A. Diaz April 23, 2004 15,000 $53.00 $100.28 15,000 0 Peter Hollmann April 23, 2004 2,200 $ 0.00 $100.28 2,200 0 Robert G. Hottensen, Jr. April 23, 2004 3,000 $53.00 $100.28 3,000 0 Timothy M. Kingston April 23, 2004 1,920 $53.00 $100.28 1,920 0 John J. Ryan April 23, 2004 2,711 $53.00 $100.28 2,711 0 John J. Ryan April 23, 2004 1,632 $82.88 $100.28 1,632 0 J. Michael Sanders April 23, 2004 37,000 $53.00 $100.28 37,000 0 Daniel Schmitz April 23, 2004 12,200 $53.00 $100.28 12,200 0 Daniel Schmitz April 23, 2004 12,200 $53.00 $100.28 9,276 2,924 John Tumilty April 23, 2004 5,407 $53.00 $100.28 3,774 1,633 John Tumilty April 23, 2004 3,174 $82.88 $100.28 2,805 369 -------- * This was a cash-for-stock exercise, not a cashless exercise. 72
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SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: April 30, 2004 By: /s/ James B. McHugh ---------------------- Name: James B. McHugh Title: Attorney-in-Fact 73
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EXHIBIT INDEX [Download Table] Exhibit Description ------- ----------- A. Shareholders' Agreement, dated as of May 7, 1999 (incorporated by reference to Exhibit A to the Schedule 13D filed May 17, 1999 (File No. 005-56295) (the "Initial Schedule 13D")). B. Form of Agreement Relating to Noncompetition and Other Covenants (incorporated by reference to Exhibit 10.20 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). C. Form of Pledge Agreement (the "IPO Pledge Agreement") (incorporated by reference to Exhibit 10.21 to the registration statement on Form S-1 (File No. 333-74449) filed by The Goldman Sachs Group, Inc.). D. Form of Amendment No. 1 to the IPO Pledge Agreement (filed as Exhibit E), dated July 10, 2000 (incorporated by reference to Exhibit F to Amendment No. 4 to the Initial Schedule 13D, filed July 11, 2000 (File No. 005-56295)). E. Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit G to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). F. Supplemental Registration Rights Instrument, dated as of December 10, 1999 (incorporated by reference to Exhibit H to Amendment No. 1 to the Initial Schedule 13D, filed December 17, 1999 (File No. 005-56295)). G. Form of Counterpart to Shareholders' Agreement for former profit participating limited partners of The Goldman Sachs Group, L.P. (incorporated by reference to Exhibit I to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). H. Form of Counterpart to Shareholders' Agreement for former retired limited partners of The Goldman Sachs Group, L.P. who are currently managing directors of The Goldman Sachs Group, Inc. (incorporated by reference to Exhibit J to Amendment No. 2 to the Initial Schedule 13D, filed June 21, 2000 (File No. 005-56295)). I. Form of Counterpart to Shareholders' Agreement for non-individual former owners of Hull and Associates, L.L.C. (incorporated by reference to Exhibit K to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). J. Form of Counterpart to Shareholders' Agreement for non-U.S. corporations (incorporated by reference to Exhibit L to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). K. Form of Counterpart to Shareholders' Agreement for non-U.S. trusts (incorporated by reference to Exhibit M to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). L. Form of Guarantee and Pledge Agreement for non-U.S. corporations (incorporated by reference to Exhibit N to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). 74
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[Download Table] Exhibit Description ------- ----------- M. Form of Pledge Agreement for shareholders of non-U.S. corporations (incorporated by reference to Exhibit O to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). N. Form of Pledge Agreement for shareholders of non-U.S. corporations (Jersey version) (incorporated by reference to Exhibit P to Amendment No. 3 to the Initial Schedule 13D, filed June 30, 2000 (File No. 005-56295)). O. Form of Counterpart to Shareholders' Agreement for Transferee Covered Persons (incorporated by reference to Exhibit Q to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). P. Supplemental Registration Rights Instrument, dated as of June 19, 2000 (incorporated by reference to Exhibit R to Amendment No. 5 to the Initial Schedule 13D, filed August 2, 2000 (File No. 005-56295)). Q. Power of Attorney (incorporated by reference to Exhibit X to Amendment No. 14 to the Initial Schedule 13D, filed March 29, 2001 (File No. 005-56295)). R. Form of Amended and Restated Member Agreement, dated as of September 10, 2000, and amended and restated as of October 26, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Y to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). S. Form of Pledge Agreement, dated as of October 31, 2000, between GS Inc. and each SLK Covered Person (incorporated by reference to Exhibit Z to Amendment No. 10 to the Initial Schedule 13D, filed November 3, 2000 (File No. 005-56295)). T. Supplemental Registration Rights Instrument, dated as of December 21, 2000 (incorporated by reference to Exhibit AA to Amendment No. 12 to the Initial Schedule 13D, filed January 23, 2001 (File No. 005-56295)). U. Form of Member Agreement, dated as of January 26, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit BB to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). V. Form of Pledge Agreement, dated as of March 19, 2001, between GS Inc. and each Jacobson Covered Person (incorporated by reference to Exhibit CC to Amendment No. 14 to the Initial Schedule 13D, filed March 28, 2001 (File No. 005-56295)). W. Form of Guarantee and Pledge Agreement for trusts (incorporated by reference to Exhibit DD to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). X. Form of Pledge Agreement for beneficiaries of trusts (incorporated by reference to Exhibit EE to Amendment No. 19 to the Initial Schedule 13D, filed October 30, 2001 (File No. 005-56295)). Y. Form of Guarantee and Pledge Agreement for non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit FF to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). 75
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[Download Table] Exhibit Description ------- ----------- Z. Form of Pledge Agreement for beneficiaries of non-U.S. trusts holding Common Stock through non-U.S. corporations (incorporated by reference to Exhibit GG to Amendment No. 20 to the Initial Schedule 13D, filed December 21, 2001 (File No. 005-56295)). AA. Supplemental Registration Rights Instrument, dated as of December 21, 2001 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-74006) filed by The Goldman Sachs Group, Inc.). BB. Form of Power of Attorney executed by Covered Persons participating in the Channel A Sales Program (incorporated by reference to Exhibit BB to Amendment No. 27 to the Initial Schedule 13D, filed June 20, 2002 (File No. 005-56295)). CC. Form of Member Agreement, dated as of May 16, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit CC to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). DD. Form of Pledge Agreement, dated as of June 26, 2002, between GS Inc. and each Walter Frank Covered Person (incorporated by reference to Exhibit DD to Amendment No. 28 to the Initial Schedule 13D, filed July 5, 2002 (File No. 005-56295)). EE. Supplemental Registration Rights Instrument, dated as of December 20, 2002 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-101093) filed by The Goldman Sachs Group, Inc.). FF. Form of Written Consent Relating to Sale and Purchase of Common Stock (incorporated by reference to Exhibit FF to Amendment No. 35 to the Initial Schedule 13D, filed January 8, 2003 (File No. 005-56295)). GG. Partner Agreement, dated as of April 14, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit GG to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). HH. Pledge Agreement, dated as of July 1, 2003, between GS Inc. and John Breyo (incorporated by reference to Exhibit HH to Amendment No. 44 to the Initial Schedule 13D, filed September 19, 2003 (File No. 005-56295)). II. Supplemental Registration Rights Instrument, dated as of December 19, 2003 (incorporated by reference to Exhibit 4.4 to the registration statement on Form S-3 (File No. 333-110371) filed by The Goldman Sachs Group, Inc.). 76

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘SC 13D/A’ Filing    Date First  Last      Other Filings
6/7/06543,  4,  SC 13D
6/2/06544,  8-K
1/21/0654
12/31/055113F-HR
7/1/055110-Q
6/26/0551
1/31/0551424B3
1/22/0554
7/17/0454
7/1/0450514,  424B3
6/26/04513
6/23/04613,  4,  SC 13D/A
5/22/0454
5/8/044952
Filed on:4/30/0473
4/26/0414,  424B3
4/24/0447
4/23/0448
4/22/0447424B3
4/6/046810-Q,  424B3
3/26/04624,  424B3
3/24/0448604
3/19/04684,  424B3
3/15/0462
1/16/04684,  424B3
1/8/0453424B2,  424B3
12/22/03534,  S-3/A
12/19/0357764,  424B3,  8-K
9/19/0357764,  SC 13D/A
7/1/0357764
6/26/0350514
6/25/03538-K
6/13/0344
6/2/0354
5/8/0349503/A,  4,  SC 13D/A,  SC 13G/A
4/14/0350764,  424B2
3/26/03444
1/8/035376424B2,  SC 13D/A
12/23/02533/A,  4,  8-K,  S-3/A
12/20/0257764,  8-K,  SC 13D/A
7/5/025776SC 13D/A
6/26/025776SC 13D/A
6/20/0257768-K,  SC 13D/A
6/5/0244
5/16/025076SC 13D/A
5/8/024950
5/7/0250
1/9/0253424B3
12/26/0153
12/21/015676S-3/A
10/30/015675424B3
3/29/015675SC 13D/A
3/28/015675
3/19/015675SC 13D/A
1/26/015075
1/23/015675SC 13D/A
12/22/0053424B3,  SC 13D/A
12/21/005675S-3/A
11/3/005675SC 13D/A,  SC 13G/A
10/31/0056758-A12B,  8-K,  8-K/A
10/26/005075
9/10/005075
8/2/005675424B4,  SC 13D/A
7/31/00514,  424B3,  8-K
7/11/005574SC 13D/A
7/10/0055744,  424B3,  SC 13G/A
6/30/00557513F-HR,  13F-HR/A,  4,  424B3,  SC 13D/A
6/21/005574SC 13D/A
6/19/005675424B3
12/17/995574SC 13D/A
12/13/9953
12/10/9955744,  SC 13G/A
5/17/995574S-1/A,  SC 13D
5/7/9947743
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