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Goldman Sachs Group Inc, et al. – ‘SC 13D/A’ on 5/14/04 re: Goldman Sachs Group Inc

On:  Friday, 5/14/04, at 4:55pm ET   ·   Accession #:  950123-4-6431   ·   File #:  5-56295

Previous ‘SC 13D’:  ‘SC 13D/A’ on 4/30/04   ·   Next:  ‘SC 13D/A’ on 6/14/04   ·   Latest:  ‘SC 13D/A’ on 3/25/22

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

 5/14/04  Goldman Sachs Group Inc           SC 13D/A               1:89K  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. 52 to Schedule 13D                      43    224K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
27Trusts
"Partnerships
"Corporations
28Item 1. Security and Issuer
"Item 2. Identity and Background
"Item 3. Source and Amount of Funds or Other Consideration
29Item 4. Purpose of Transactions
"Item 5. Interest in Securities of the Issuer
30Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
"Transfer Restrictions
32Information Regarding the Shareholders' Committee
"GS Inc
37Items 2(D) and 2(E). Information Required as to Certain Proceedings
38Item 4. Planned Disposition of Securities of the Issuer by Covered Persons
39Item 5(A). Description of Shares as to Which There Is A Right to Acquire Exercisable Within 60 Days
40Item 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. 52 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) The Goldman Sachs Group, Inc. --------------------- (Name of Issuer) Common Stock, par value $.01 per share --------------------------- (Title of Class of Securities) 38141G 10 4 --------------------- (CUSIP Number) Gregory K. Palm 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) May 8, 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 10 4 13D -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS: Each of the persons identified on Appendix A. -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP As to a group consisting solely of Covered Persons(1) (a) [x] As to a group consisting of persons other than Covered Persons (b) [x] -------------------------------------------------------------------------------- 3. SEC USE ONLY -------------------------------------------------------------------------------- 4. SOURCE OF FUNDS: OO as to Covered Shares(1), OO and PF as to Uncovered Shares(2) (Applies to each person listed on Appendix A.) -------------------------------------------------------------------------------- 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM [ ] 2(d) OR 2(e) (Applies to each person listed on Appendix A.) -------------------------------------------------------------------------------- 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States unless otherwise indicated on Appendix A. -------------------------------------------------------------------------------- 7. SOLE VOTING POWER (See Item 6) NUMBER OF As to Covered Shares, 0 SHARES As to Uncovered Shares, as stated in Appendix A BENEFICIALLY -------------------------------------------------------- OWNED BY 8. SHARED VOTING POWER (See Item 6) (Applies to each REPORTING person listed on Appendix A.) PERSON 120,137,156 Covered Shares held by Covered Persons WITH 21,799 Uncovered Shares held by Covered Persons(3) 930,987 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 121,089,942(5) -------------------------------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] -------------------------------------------------------------------------------- 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 23.41% -------------------------------------------------------------------------------- 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 44 private charitable foundations established by 44 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, 35,986,464 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 85,103,478 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 Yusuf A. Aliredha Bahrain 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 Scott B. Barringer 0 0 0 0 Steven M. Barry 0 0 0 0 3
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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 M. Barter 0 0 0 0 Stacy Bash-Polley 0 0 0 0 Gareth W. Bater UK 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 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 Lloyd C. Blankfein 0 0 0 0 Abraham Bleiberg Mexico 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 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 Mark Carroll 0 0 0 0 Virginia E. Carter 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 ------------ (6) Shared with family members. 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 676 0 676 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 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 Michael 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- Robert G. Doumar, Jr. 0 0 0 0 Thomas M. Dowling 0 0 0 0 Mario Draghi Italy 0 0 0 0 Michael B. Dubno 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 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 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 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- Gregory A. Finck 0 0 0 0 David A. Fishman 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 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 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(7) 0 2000(7) 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 Scott A. Gieselman 0 0 0 0 Gary T. Giglio 0 0 0 0 H. John Gilbertson, Jr. 0 0 0 0 ---------- (7) Shared with family members. 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 -------------------------- ---------------- --------- --------- ----------- ----------- Nicholas G. Giordano 0 300(8) 0 300(9) Carson Gleberman 0 0 0 0 Joseph H. Gleberman 0 0 0 0 Justin G. Gmelich 0 0 0 0 Richard J. Gnodde Ireland/ 0 0 0 0 South Africa Jeffrey B. Goldenberg 0 2,860(9) 0 2,860(9) Rachel C. Golder 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 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 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 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 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 Valerie J. Harrison UK 0 0 0 0 ------------ (8) Shared with family members. (9) 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 866 300(10) 866 300(10) 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 William L. Hemphill 0 0 0 0 Ruud G. Hendriks The Netherlands 0 0 0 0 David P. Hennessey 0 0 0 0 Robert D. 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 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 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 ------------ (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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 Famiko Kanenobu Japan 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- Scott B. Kapnick 0 1,666(11) 0 1,666(11) Atul Kapur India 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 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 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 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 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 ---------------- (11) Shared with family members. 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 Richard 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 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 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 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- Barry A. Mannis 0 0 0 0 Simon I. Mansfield 0 0 0 0 Elizabeth C. Marcellino 0 0 0 0 Joseph C. Marconi 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 106 0 106 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(12) 0 215(12) Richard P. McNeil Jamaica 0 0 0 0 Audrey A. McNiff 0 0 0 0 Stuart G. McPherson UK 0 0 0 0 Robert A. McTamaney 0 0 0 0 Lance P. Meaney 0 0 0 0 Sharon I. Meers 0 0 0 0 David M. Meerschwam The Netherlands 0 0 0 0 Sanjeev K. Mehra India 0 0 0 0 ------------- (12) Shared with family members. 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 -------------------------- ---------------- --------- --------- ----------- ----------- Stephen J. Mellas 0 0 0 0 Andrew J. Melnick 0 0 0 0 Bruce H. Mendelsohn 100 400(13) 100 400(13) Michael A. Mendelson 0 0 0 0 Bernard A. Mensah UK 0 0 0 0 Garry E. Menzel UK 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 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 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 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 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 Donald R. Mullen 0 0 0 0 Eric D. Mullins 0 0 0 0 Donald J. Mulvihill 0 0 0 0 Patrick E. Mulvihill Ireland 0 0 0 0 Alvise J. Munari UK 0 0 0 0 Rie Murayama Japan 0 0 0 0 Richard A. Murley UK 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 ------------ (13) Shared with family members. 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 -------------------------- ---------------- --------- --------- ----------- ----------- Kota Nakako 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 Leslie S. Nelson 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 Jay S. Nydick 0 0 0 0 Eric M. Oberg 0 0 0 0 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 Roderick S. Orr UK 0 0 0 0 Calum M. Osborne UK 0 0 0 0 Joel D. Ospa 0 0 0 0 Nigel M. O'Sullivan UK 0 0 0 0 James B. Otness 0 0 0 0 Paula O'Toole 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- Geoffrey M. Parker 0 0 0 0 Archie W. Parnell 200 200(14) 200 200(14) 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 Watanan Petersik Thailand 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 Carol V. Pledger UK 0 0 0 0 Andrea Ponti Italy/USA 0 0 0 0 Ellen R. Porges 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 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 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 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 Nicholas T. Reid UK 0 0 0 0 David Reilly UK 0 0 0 0 Gene Reilly 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 --------------- (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 -------------------------- ---------------- --------- --------- ----------- ----------- Michael J. Richman 0 0 0 0 Thomas S. Riggs III 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 9 0 9 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 John F. W. Rogers 0 0 0 0 Emmanuel Roman France 0 0 0 0 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 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 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 Neil I. Sarnak 0 0 0 0 Atsuko Sato Japan 0 0 0 0 Muneer A. Satter 0 0 0 0 Marc P. Savini 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 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 Eric S. Schwartz 0 0 0 0 Harvey M. Schwartz 0 0 0 0 Thomas M. Schwartz 0 1,900(15) 0 1,900(15) 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 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 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 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 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 -------------- (15) 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 -------------------------- ---------------- --------- --------- ----------- ----------- Dinakar Singh 0 0 0 0 Ravi M. Singh 0 0 0 0 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(16) 0 1,000(16) 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 Keith G. Starkey UK 0 0 0 0 Esta E. Stecher 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 Johannes R. Sulzberger Austria 0 0 0 0 --------------- (16) 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 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 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 Frederick Towfigh 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 Christopher H. Turner 0 0 0 0 Gareth N. Turner Canada 0 0 0 0 Greg A. Tusar 0 0 0 0 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 Lucas van Praag UK 0 0 0 0 Hugo H. Van Vredenburch The Netherlands 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 -------------------------- ---------------- --------- --------- ----------- ----------- Frederick G. Van Zijl 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 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(17) 0 10(17) 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 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 ---------------- (17) 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 -------------------------- ---------------- --------- --------- ----------- ----------- 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 Christopher G. Williams UK 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 Michael S. Wishart 0 0 0 0 Samuel J. Wisnia France 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 Anne Yang 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 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 Peter J. Zangari 0 0 0 0 Paolo Zannoni Italy 0 0 0 0 Yoel Zaoui France 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 James P. Ziperski 0 0 0 0 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 -------------------------- ---------------- --------- --------- ----------- ----------- Shares held by 44 private N/A 0 930,987 0 930,987 charitable foundations established by 44 Covered Persons each of whom is a co-trustee of one or more of such private charitable foundations(18) -------------- (18) Each Covered Person disclaims beneficial ownership of all such shares of Common Stock. 26
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[Enlarge/Download Table] ITEM 7 ITEM 8 ITEM 9 ITEM 10 SOLE SHARED SOLE SHARED VOTING VOTING DISPOSITIVE DISPOSITIVE ITEM 6 POWER OF POWER OF POWER OF POWER OF ITEM 1 PLACE OF UNCOVERED UNCOVERED UNCOVERED UNCOVERED NAMES OF REPORTING PERSONS ORGANIZATION SHARES SHARES SHARES SHARES --------------------------------- -------------- --------- --------- ----------- ----------- TRUSTS Bott 2004 Settlement(19) UK 0 0 0 0 Campbell-Breeden 2004 Settlement UK 0 0 0 0 Deighton 2004 Settlement UK 0 0 0 0 Devenish 2004 Settlement UK 0 0 0 0 Dingemans 2004 Settlement UK 0 0 0 0 Drayton 2004 Settlement(20) UK 0 0 0 0 French 2004 Settlement UK 0 0 0 0 Grigg 2004 Settlement UK 0 0 0 0 Kirk 2004 Settlement UK 0 0 0 0 Kuala Trust(21) Jersey 0 0 0 0 Ling 2004 Settlement UK 0 0 0 0 Manby 2004 Settlement UK 0 0 0 0 Mark Denhert Living Trust Illinois 0 0 0 0 Markwick 2004 Settlement UK 0 0 0 0 O'Neill 2004 Trust UK 0 0 0 0 The Patrick J. Ward 2001 Trust New York 0 0 0 0 Ransom 2004 Settlement UK 0 0 0 0 Robertson 2004 Settlement UK 0 0 0 0 Sharp 2004 Settlement UK 0 0 0 0 Sherwood 2004 Settlement UK 0 0 0 0 Tracey 2004 Settlement UK 0 0 0 0 Westerman 2004 Settlement UK 0 0 0 0 Partnerships Mijen Family Partnership(22) Illinois 0 0 0 0 Corporations Anahue Limited(23) Jersey 0 0 0 0 Chambolle Limited(24) Jersey 0 0 0 0 HJS2 Limited(25) Cayman Islands 0 0 0 0 HTW Inc.(26) Delaware 0 0 0 0 Melalula Limited(27) Jersey 0 0 0 0 RJG Holding Company(28) Cayman Islands 0 0 0 0 Robinelli Limited(29) Jersey 0 0 0 0 Vyrona Holdings Limited(30) Jersey 0 0 0 0 Zurrah Limited(31) Jersey 0 0 0 0 -------- (19) Created by Charles W.A. Bott. (20) Created by Karen R. Cook. (21) Created by Sylvain M. Hefes. (22) Created by Peter Layton. (23) Created by Andrew A. Chisholm. (24) Created by Emmanuel Roman. (25) Created by Hsueh J. Sung. (26) Created by John P. Curtin, Jr. (27) Created by Peter D. Sutherland. (28) Created by Richard J. Gnodde. (29) Created by Claudio Costamagna. (30) Created by Sylvain M. Hefes. (31) Created by Yoel Zaoui. 27
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This Amendment No. 52 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. 52 is being filed primarily because on May 8, 2004, the Partner Transfer Restrictions (as defined in Item 6 below) lapsed as to 47,840,959 Covered Shares (as defined in Item 2 below). As a result, certain individuals and estate planning vehicles ceased to be Covered Persons (as defined in Item 2 below) and the shares of Common Stock beneficially owned by them ceased to be Covered Shares. Accordingly, these individuals and entities are no longer bound by the Shareholders' Agreement (as defined in Item 2 below) and its voting agreement and transfer restrictions described in Item 6 below. As of May 7, 2004, these individuals and entities had owned approximately 49 million Covered Shares. ITEM 1. SECURITY AND ISSUER This Schedule relates to the Common Stock, par value $.01 per share (the "Common Stock"), of The Goldman Sachs Group, Inc. ("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 by GS Inc. or one of its affiliates. GS Inc. is a global investment banking and securities firm. Each Covered Person who is not an individual is a trust, limited partnership 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"). 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; and (iii) in the case of all other Covered Persons, 85 Broad Street, New York, New York 10004. (d), (e) Except as described in Annex A or Annex B, during the last five years no Covered Person or, to the best knowledge of the Covered Persons, any executive officer or director of a Covered Person, has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in such Covered Person being subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION The Covered Shares have been and will be acquired by the Covered Persons in the following manner: (i) the former profit participating limited partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.") (each such former partner, a "PMD" and, collectively, the "PMDs") acquired certain Covered Shares in exchange for their interests in Group L.P. and certain of its affiliates and investee corporations; (ii) the 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 28
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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; and (iv) 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, 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 Estate Planning Covered Persons acquired the Covered Shares as contributions or gifts made for estate planning purposes by Individual 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. The board of directors of GS Inc. and, in the case of the PMDs, the Shareholders' Committee have approved sales by the PMDs 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 previously occurred from March 24, 2004 through April 23, 2004 with an aggregate of 2,781,551 Covered Shares having been sold. The Channel A and Channel B Sales Programs may continue in subsequent fiscal quarters, but can be suspended, modified or terminated at any time. 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. 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. 29
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(c) Except as described in Annex E or previously reported on Schedule 13D, no Covered Person has effected any transactions in Common Stock in the past 60 days. (d), (e) Not applicable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER Each Covered Person listed on the cover page to this Schedule and Appendix A hereto is a party to the Shareholders' Agreement. The Shareholders' Agreement, and forms of the Counterparts to the Shareholders' Agreement executed by or on behalf of the Estate Planning Covered Persons and certain Hull 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 or to be acquired by Estate Planning Covered Persons from Individual Covered Persons for estate planning purposes; 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 Hull Covered Persons, with respect to the shares of Common Stock received in exchange for their interests in Hull) 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"). Prior to May 8, 2004, the PMDs were 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 (the "Partner Transfer Restrictions" and, together with the General Transfer Restrictions, the "Transfer Restrictions") also applied to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Hull, SLK LLC or Jacobson, as applicable. These 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 as to the remaining 47,840,959 Covered Shares beneficially owned by the PMDs, Hull Covered Persons, SLK Covered Persons and 30
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Jacobson Covered Persons on May 8, 2004. After the lapse of these Partner Transfer Restrictions, only PMDs who continue to be employees of GS Inc. or one of its affiliates are Covered Persons. The Partner Transfer Restrictions continue to apply to some of the Covered Shares acquired by the Acquisition Covered Persons in exchange for their interests in Walter Frank or Ayco. As to the Covered Shares beneficially owned by the Walter Frank Covered Persons, these Partner Transfer Restrictions lapsed as to 177,851 Covered Shares on June 26, 2003 and will lapse as to the remaining Covered Shares in equal installments on each of June 26, 2004 and June 26, 2005 and, as to the Covered Shares beneficially owned by John Breyo, will lapse 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 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 The Shareholders' Committee, described below under "Information Regarding the Shareholders' Committee", 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. 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 will be voted in accordance with the majority of the votes cast by the Voting Interests in the Preliminary Vote. In elections of directors, each Covered Share will be voted in favor of the election of those persons receiving the highest numbers of votes cast by the Voting Interests in the Preliminary Vote. "Voting Interests" are Covered Shares beneficially owned by all 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 Shareholders' Agreement may generally be amended at any time by a majority of the outstanding Voting Interests. 31
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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 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. On July 31, 2000, certain Covered Persons pledged 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. In addition, one or more Covered Persons have pledged in the aggregate 1,922,058 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 32
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amendment that would cause the shares of Common Stock to fail to be "qualified appreciated stock" within the meaning of Section 170 of the Internal Revenue Code. In addition, GS Inc. may not make any amendment that would materially and adversely affect the rights of any charitable organization without the consent of a majority of the materially and adversely affected charitable organizations. REGISTRATION RIGHTS INSTRUMENT FOR EMPLOYEE MANAGING DIRECTORS In connection with the sale by certain Covered Persons (the "Employee Managing Directors") of shares of Common Stock acquired from GS Inc. pursuant to the terms of restricted stock units, GS Inc. entered into a Supplemental Registration Rights Instrument (the "EMD Supplement"), which supplements the Registration Rights Instrument referred to above. The following is a description of the Registration Rights Instrument, as supplemented by the EMD Supplement. The Registration Rights Instrument and the EMD Supplement are filed as Exhibits to this Schedule, and the following summary of these agreements is qualified in its entirety by reference thereto. Pursuant to the Registration Rights Instrument and the EMD Supplement, GS Inc. has agreed to pay all of the fees and expenses relating to the registered offering of shares of Common Stock held by the Employee Managing Directors, other than any agency fees and commissions or underwriting commissions or discounts or any transfer taxes incurred by the Employee Managing Directors in connection with the sales. GS Inc. also has agreed to indemnify the Employee Managing Directors against certain liabilities, including those arising under the Securities Act. DERIVATIVE INSTRUMENTS Certain Individual Covered Persons have written American-style call options on an aggregate of 694,000 Covered Shares with strike prices ranging from $95.00 to $125.00 and maturity dates ranging from July 17, 2004 to January 22, 2005. A private foundation established by an Individual Covered Person has written an American-style call option on an aggregate of 5,000 Uncovered Shares with a strike price of $100.00 and a maturity date of July 17, 2004. 33
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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. 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)). C. 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)). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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.). M. 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)). 34
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[Download Table] Exhibit Description ------- ----------- N. 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)). O. 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)). P. 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.). Q. 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)). R. 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)). S. 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)). T. 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.). 35
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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 ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. Russell E. USA 85 Broad Street Managing Director, None Covered Person, so Makowsky New York, NY The Goldman ownership is as set 10004 Sachs Group, Inc. forth in or incorporated into Item 5 above. Michael H. UK 26 New Street, Partner, None None Richardson St. Helier, Jersey, Bedell Cristin JE4 3RA Anthony J. UK 26 New Street, Partner, None None Dessain St. Helier, Jersey, Bedell Cristin JE4 3RA 36
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ANNEX B ITEMS 2(D) AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS None. 37
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ANNEX C ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS None. 38
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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 22,241,295 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 6,013,013 shares of Common Stock will be delivered pursuant to the terms of an equal number of restricted stock units and on or about June 23, 2004, stock options covering 7,732,156 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 pursuan 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. 39
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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 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. [Enlarge/Download Table] ACQUISITION OR NUMBER OF COVERED PERSON DISPOSITION TRANSACTION DATE SHARES PRICE PER SHARE ------------------------------------------------------------------------------------------------------------------- Thomas J. McAdam Acquisition April 30, 2004 1 96.75 Richard T. Roberts Acquisition April 30, 2004 1 96.75 Edward A Hazel Acquisition April 30, 2004 1 96.75 Thomas V. Conigliaro Acquisition April 30, 2004 1 96.75 40
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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: May 14, 2004 By: /s/ James B. McHugh ------------------------------ Name: James B. McHugh Title: Attorney-in-Fact 41
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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. 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)). C. 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)). D. 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)). E. 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)). F. 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)). G. 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)). H. 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)). I. 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)). J. 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)). K. 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)). L. 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.). M. 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)). 42
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[Download Table] Exhibit Description ------- ----------- N. 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)). O. 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)). P. 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.). Q. 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)). R. 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)). S. 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)). T. 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.). 43

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘SC 13D/A’ Filing    Date First  Last      Other Filings
12/31/053113F-HR
7/1/053110-Q
6/26/0531
1/31/0531424B3
1/22/0533
7/17/0433
7/1/04314,  424B3
6/26/04313
6/23/04393,  4,  SC 13D/A
Filed on:5/14/0441
5/8/04131
5/7/04284
4/23/0429
3/24/04294
1/8/0432424B2,  424B3
12/22/03324,  S-3/A
12/19/0335434,  424B3,  8-K
9/19/0335434,  SC 13D/A
7/1/0335434
6/26/03314
5/8/03303/A,  4,  SC 13D/A,  SC 13G/A
4/14/0330434,  424B2
1/8/033243424B2,  SC 13D/A
12/23/02323/A,  4,  8-K,  S-3/A
12/20/0235434,  8-K,  SC 13D/A
7/5/023543SC 13D/A
6/26/023543SC 13D/A
6/20/0234428-K,  SC 13D/A
5/16/023043SC 13D/A
5/8/0230
1/9/0232424B3
12/26/0132
12/21/013442S-3/A
3/29/013442SC 13D/A
1/26/0130
1/23/013442SC 13D/A
12/22/0032424B3,  SC 13D/A
12/21/003442S-3/A
10/26/0030
9/10/0030
8/2/003442424B4,  SC 13D/A
7/31/00324,  424B3,  8-K
6/30/00344213F-HR,  13F-HR/A,  4,  424B3,  SC 13D/A
6/21/003442SC 13D/A
6/19/003442424B3
12/17/993442SC 13D/A
12/13/9932
12/10/9934424,  SC 13G/A
5/17/993442S-1/A,  SC 13D
5/7/9928423
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