0000950123-09-008775.txt : 20090513
<sec-header>0000950123-09-008775.hdr.sgml : 20090513
<acceptance-datetime>20090513171336
ACCESSION NUMBER: 0000950123-09-008775
CONFORMED SUBMISSION TYPE: SC 13D/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20090513
DATE AS OF CHANGE: 20090513
GROUP MEMBERS: GROUP MEMBERS LISTED IN FILING
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC
CENTRAL INDEX KEY: 0000886982
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 134019460
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-56295
FILM NUMBER: 09823509
BUSINESS ADDRESS:
STREET 1: 85 BROAD ST
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 2129021000
MAIL ADDRESS:
STREET 1: 85 BROAD ST
CITY: NEW YORK
STATE: NY
ZIP: 10004
FORMER COMPANY:
FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/
DATE OF NAME CHANGE: 20010104
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: GOLDMAN SACHS GROUP INC
CENTRAL INDEX KEY: 0000886982
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 134019460
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D/A
BUSINESS ADDRESS:
STREET 1: 85 BROAD ST
CITY: NEW YORK
STATE: NY
ZIP: 10004
BUSINESS PHONE: 2129021000
MAIL ADDRESS:
STREET 1: 85 BROAD ST
CITY: NEW YORK
STATE: NY
ZIP: 10004
FORMER COMPANY:
FORMER CONFORMED NAME: GOLDMAN SACHS GROUP INC/
DATE OF NAME CHANGE: 20010104
</acceptance-datetime></sec-header>
<document>
<type>SC 13D/A
</type><sequence>1
</sequence><filename>y77195sc13dza.txt
</filename><description>AMENDMENT TO SCHEDULE 13D
<text>
<page>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
File No. 005-56295
----------
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 73
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)
Kenneth L. Josselyn
Beverly L. O'Toole
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 4, 2009
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
(Continued on following pages)
</page><page>
<table>
<s> </s><c>
- ---------------------
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 and PF (Applies to each person listed on Appendix A.)
- ------------------------------------------------------------------------------------------
5. CHECK 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: 0
---------------------------------------------------------------------------
NUMBER OF 8. SHARED VOTING POWER (See Item 6) (Applies to each person
SHARES listed on Appendix A.)
BENEFICIALLY 19,438,336 Voting Shares(2) held by Covered Persons
OWNED BY 3,660 Shared Ownership Shares held by Covered Persons(3)
EACH 9,022,318 Sixty Day Shares held by Covered Persons(4)
REPORTING 2,628,609 Other Shares held by Covered Persons (5)
PERSON
WITH ---------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER (See Item 6)
As to Voting Shares, less than 1%
As to Shared Ownership Shares, Sixty Day Shares and Other
Shares, 0
- ------------------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER (See Item 6):
As to Voting Shares, 0
As to Shared Ownership Shares, less than 0.01%
As to Sixty Day Shares and Other Shares, less than 1%.
- ------------------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 31,092,923
- ------------------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ------------------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.99%
- ------------------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON:
IN as to Covered Persons; CO as to Reporting Entities(1) that are
corporations; OO as to Reporting Entities that are trusts
- ------------------------------------------------------------------------------------------
</c></table>
- ----------
(1) For a definition of this term, please see Item 2.
(2) For a definition of this term, please see Item 6.
(3) "Shared Ownership Shares" are shares of Common Stock (other than Other
Shares, as defined below) of which a Covered Person shares beneficial
ownership with someone other than the Covered Person's spouse. Each Covered
Person disclaims beneficial ownership of Shared Ownership Shares
beneficially owned by each other Covered Person.
(4) "Sixty Day Shares" are shares of Common Stock deemed to be 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. Upon acquisition by the Covered Person,
these shares will become Voting Shares. Each Covered Person disclaims
beneficial ownership of Sixty Day Shares beneficially owned by each other
Covered Person.
(5) "Other Shares" include: (i) 432,726 shares of Common Stock held by 22
private charitable foundations established by 22 Covered Persons; (ii)
1,907,422 shares of Common Stock held by certain family members of Covered
Persons and by certain estate planning entities established by Covered
Persons; (iii) 287,272 shares of Common Stock held in escrow for the
benefit of certain Covered Persons; and (iv) 1,189 shares of Common Stock
held by the trust underlying The Goldman Sachs 401(k) Plan. Each Covered
Person disclaims beneficial ownership of Other Shares beneficially owned by
each other Covered Person, and each Covered Person disclaims beneficial
ownership of all shares held by any private charitable foundation or any
family member of a Covered Person.
-2-
</page><page>
Appendix A
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Paul R. Aaron
Peter C. Aberg
Mark E. Agne
Gregory A. Agran
Raanan A. Agus
Sanggyun Ahn Korea
Yusuf A. Aliredha Bahrain
Philip S. Armstrong UK
John A. Ashdown UK
Armen A. Avanessians
Dean C. Backer
Charles Baillie
Steven M. Barry
Christopher M. Barter
Stacy Bash-Polley
Jonathan A. Beinner
Milton R. Berlinski The Netherlands
Philip R. Berlinski Belgium/USA
Frances R. Bermanzohn
Paul D. Bernard
Stuart N. Bernstein
Robert A. Berry UK
Elizabeth E. Beshel
Leslie A. Biddle
Lloyd C. Blankfein
Dorothee Blessing Germany
Oliver R. Bolitho UK
Johannes M. Boomars The Netherlands
Atanas Bostandjiev UK
Patrick T. Boyle UK
Stephen Branton-Speak UK
Anne F. Brennan
Samuel S. Britton
Craig W. Broderick
Jason M. Brown UK
Steven M. Bunson
Nicholas F. Burgin
Mary D. Byron
Jason G. Cahilly
Jin Yong Cai China/Hong Kong
Richard M. Campbell-Breeden UK
Gerald J. Cardinale
Mark M. Carhart
Valentino D. Carlotti
Anthony H. Carpet
Michael J. Carr
Lik Shuen David Chan Hong Kong
R. Martin Chavez
Martin Cher Singapore
</c></table>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Andrew A. Chisholm Canada
Jane P. Chwick
James B. Clark
Abby Joseph Cohen
Alan M. Cohen
Gary D. Cohn
Christopher A. Cole
Denis P. Coleman III
Peter H. Comisar
Laura C. Conigliaro
William J. Conley, Jr.
Thomas G. Connolly Ireland/USA
Kevin P. Connors Ireland/USA
Linnea K. Conrad
Karen R. Cook UK
Edith W. Cooper
Colin J. Corgan
Thomas W. Cornacchia
Henry Cornell
E. Gerald Corrigan
Frank L. Coulson, Jr.
James V. Covello
Brahm S. Cramer Canada
Jeffrey R. Currie
Matthew H. Cyzer UK
Michael D. Daffey Australia
John S. Daly Ireland
Stephen D. Daniel Canada
Diego De Giorgi Italy
Michael G. De Lathauwer Belgium
Francois-Xavier de Mallmann France/Switzerland
Jean A. De Pourtales France/UK
Giorgio De Santis Italy
Daniel L. Dees
Mark F. Dehnert
Martin R. Devenish UK
Alexander C. Dibelius Germany
Simon P. Dingemans UK
Joseph P. DiSabato
Albert F. Dombrowski
Katinka I. Domotorffy
Thomas M. Dowling
Donald J. Duet
Michael L. Dweck
Gordon E. Dyal
Isabelle Ealet France
Glenn P. Earle UK
Kenneth M. Eberts III
Edward K. Eisler Austria
</c></table>
-3-
</page><page>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Jason H. Ekaireb UK
Kathleen G. Elsesser
Peter C. Enns Canada
L. Brooks Entwistle
James P. Esposito
Michael P. Esposito
J. Michael Evans Canada
Carl Faker France/Lebanon
Elizabeth C. Fascitelli
Douglas L. Feagin
Stephan J. Feldgoise
Steven M. Feldman
Gregg J. Felton
Benjamin W. Ferguson
Luca D. Ferrari Italy/USA
Wolfgang Fink Germany
Pierre-Henri Flamand France
Elisabeth Fontenelli
Silverio Foresi Italy
Colleen A. Foster
Orit Freedman Israel
Matthew T. Fremont-Smith
Christopher G. French UK
Richard A. Friedman
Enrico S. Gaglioti
Timur F. Galen
Sean J. Gallagher
Gonzalo R. Garcia Chile
James R. Garman UK
Kevin S. Gasvoda
Paul E. Germain
Robert R. Gheewalla
Gary T. Giglio
H. John Gilbertson, Jr.
Joseph H. Gleberman
Justin G. Gmelich
Richard J. Gnodde Ireland/
South Africa
Jeffrey B. Goldenberg
Gregg A. Gonsalves
Andrew M. Gordon
Paul Graves UK
Michael J. Graziano
Stefan Green Australia
David J. Greenwald
Peter Gross
Vishal Gupta India
Celeste A. Guth
Edward G. Hadden Canada
</c></table>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Jonathan J. Hall UK
Rumiko Hasegawa Japan
Jan Hatzius Germany
Keith L. Hayes UK
David B. Heller
Robert D. Henderson
Bruce A. Heyman
Stephen P. Hickey
Melina E. Higgins
Martin Hintze Germany
Kenneth L. Hirsch
Kenneth W. Hitchner
Maykin Ho
Todd Hohman
Simon N. Holden UK
Margaret J. Holen
Philip Holzer Germany
James P. Houghton UK
Zu Liu Frederick Hu China
Paul J. Huchro
Alastair J. Hunt UK/USA
Edith A. Hunt
Phillip S. Hylander UK
Hidehiro Imatsu Japan
Timothy J. Ingrassia
Raymond J. Iwanowski
William L. Jacob III
Andrew J. Jonas
Adrian M. Jones Ireland
Robert C. Jones
Andrew J. Kaiser
Toshinobu Kasai Japan
James C. Katzman
Alan S. Kava
Dimitrios Kavvathas Greece
Larry M. Kellerman
Kevin W. Kennedy
Thomas J. Kenny
Richard A. Kimball, Jr.
Robert C. King, Jr.
Timothy M. Kingston
Hideki Kinuhata Japan
Shigeki Kiritani Japan
Michael E. Koester
J. Christopher A. Kojima Canada
Eric S. Lane
Jonathan A. Langer
Michiel P. Lap The Netherlands
John J. Lauto
</c></table>
-4-
</page><page>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Brian J. Lee
George C. Lee
Gregory D. Lee Australia
Ronald Lee
David A. Lehman
Tim Leissner Brazil/Germany
Todd W. Leland
Gregg R. Lemkau
Deborah R. Leone
Hughes B. Lepic France
Wai Man Kaven Leung Hong Kong
Allan S. Levine
Brian T. Levine
Jack Levy
Gwen R. Libstag
Mitchell J. Lieberman
Ryan D. Limaye
John S. Lindfors Finland
Anthony W. Ling UK
Hao Cheng Liu
Victor M. Lopez-Balboa
Antigone Loudiadis Greece/UK
Peter J. Lyon
Mark G. Machin UK
Paula B. Madoff
John A. Mahoney
Puneet Malhi UK
Charles G. R. Manby UK
Simon I. Mansfield UK
David M. Marcinek
Robert J. Markwick UK
Serge Marquie France
Allan S. Marson UK
Alison J. Mass
Blake W. Mather
Kathy M. Matsui
George N. Mattson
John J. McCabe
Stephen J. McGuinness
John J. McGuire, Jr.
John W. McMahon
James A. McNamara
Robert A. McTamaney
Sanjeev K. Mehra
Bernard A. Mensah UK
Julian R. Metherell UK
Michael J. Millette
Milton R. Millman III
Christopher Milner UK
</c></table>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Christina P. Minnis
Masanori Mochida Japan
Timothy H. Moe
Philip J. Moffitt Australia
William C. Montgomery
J. Ronald Morgan III
Simon P. Morris UK
Thomas C. Morrow
Jeffrey M. Moslow
Sharmin Mossavar-Rahmani UK
Donald R. Mullen
Takashi Murata Japan
Ken N. Murphy
Arjun N. Murti
Marc O. Nachmann Germany/USA
Kenichi Nagasu Japan
Jeffrey P. Nedelman
Gavin G. O'Connor
L. Peter O'Hagan Canada/USA
Terence J. O'Neill UK
Timothy J. O'Neill
Peter C. Oppenheimer UK
Todd G. Owens
Fumiko Ozawa Japan
Craig W. Packer
Gregory K. Palm
Konstantinos N. Pantazopoulos Greece
James R. Paradise UK
Sanjay H. Patel
Sheila H. Patel
David B. Philip
Stephen R. Pierce
Kenneth A. Pontarelli
Ellen R. Porges
Richard H. Powers
Gilberto Pozzi Italy
Lora J. Price
Kevin A. Quinn
Jean Raby Canada
Lorin P. Radtke
John J. Rafter Ireland
Dioscoro-Roy I. Ramos Philippines
Richard N. Ramsden UK
Charlotte P. Ransom UK
Krishna S. Rao India
Buckley T. Ratchford
Joseph Ravitch
Sara E. Recktenwald
Gene Reilly
</c></table>
-5-
</page><page>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Jeffrey A. Resnick
Michael J. Richman
Michael Rimland
Luigi G. Rizzo Italy
John F. W. Rogers
Scott A. Romanoff
Eileen P. Rominger
Ivan Ross
Paul M. Russo
Richard M. Ruzika
David C. Ryan
David M. Ryan Australia
Katsunori Sago Japan
Ankur A. Sahu India
Guy E. Saidenberg France
Pablo J. Salame Ecuador
Julian Salisbury UK
Muneer A. Satter
Susan J. Scher
Gary B. Schermerhorn
Stephen M. Scherr
Clare R. Scherrer
Howard B. Schiller
Jeffrey W. Schroeder
Harvey M. Schwartz
Paul D. Scialla
Peter E. Scialla
Steven M. Scopellite
John A. Sebastian
Peter A. Seccia
Karen D. Seitz
Peter D. Selman UK
Rebecca M. Shaghalian
Devesh P. Shah India
Lisa M. Shalett
David G. Shell
Heather K. Shemilt Canada
Magid N. Shenouda UK
Michael S. Sherwood UK
Suhail A. Sikhtian
Gavin Simms UK
Ravi Sinha India/USA
Edward M. Siskind
Jeffrey S. Sloan
Marshall Smith
Sarah E. Smith UK
David M. Solomon
Theodore T. Sotir
Marc A. Spilker
</c></table>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Christoph W. Stanger Austria
Esta E. Stecher
Laurence Stein South Africa/USA
Chase O. Stevenson
John D. Storey Australia
Patrick M. Street UK
Steven H. Strongin
Ram K. Sundaram India
Robert J. Sweeney
Michael J. Swenson
Jonathan R. Symonds UK
Gene T. Sykes
Morgan C. Sze
Shahriar Tadjbakhsh
Roland W. Tegeder Germany
Thomas D. Teles
Daisuke Toki Japan
Jeffrey M. Tomasi
Peter K. Tomozawa
Massimo Tononi Italy
David G. Torrible Canada/UK
Frederick Towfigh
Michael A. Troy
Donald J. Truesdale
Greg A. Tusar
Eiji Ueda Japan
Kaysie P. Uniacke
Lucas van Praag UK
Ashok Varadhan
John J. Vaske
Andrea Vella Italy
Jeffrey L. Verschleiser
Robin A. Vince UK
David A. Viniar
Andrea A. Vittorelli Italy
Alejandro Vollbrechthausen Mexico
David H. Voon Hong Kong/USA
Casper W. Von Koskull Finland
John E. Waldron
Paul Walker
Theodore T. Wang China
Alasdair J. Warren UK
John S. Weinberg
Gregg S. Weinstein
Martin M. Werner Mexico
Matthew Westerman UK
Elisha Wiesel
C. Howard Wietschner
</c></table>
-6-
</page><page>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Susan A. Willetts
Todd A. Williams
John S. Willian
Andrew F. Wilson New Zealand
Dominic A. Wilson UK
Steve Windsor UK
Samuel J. Wisnia France
Martin Wiwen-Nilsson Sweden
Andrew E. Wolff
Tracy R. Wolstencroft
Jon A. Woodruff
</c></table>
<table>
<caption>
ITEM 6
CITIZENSHIP
(UNITED STATES
ITEM 1 UNLESS OTHERWISE
NAMES OF REPORTING PERSONS INDICATED)
- ----------------------------- --------------------
</caption><s> </s><c>
Neil J. Wright UK
Denise A. Wyllie UK
Shinichi Yokote Japan
W. Thomas York, Jr.
Wassim G. Younan Lebanon/UK
Paul M. Young
Sanaz Zaimi UK
Paolo Zannoni Italy
Yoel Zaoui France
Han Song Zhu China
</c></table>
-7-
</page><page>
Reporting Entities
<table>
<caption>
ITEM 6
ITEM 1 PLACE OF NAME OF ESTABLISHING
NAME OF ENTITY TYPE OF ENTITY ORGANIZATION COVERED PERSON
- -------------------------------- -------------- -------------- ---------------------------
</caption><s> </s><c> </c><c> </c><c>
Anahue Limited Corporation Jersey Andrew A. Chisholm
Campbell-Breeden 2004 Settlement Trust UK Richard M. Campbell-Breeden
Devenish 2004 Settlement Trust UK Martin R. Devenish
Dingemans 2004 Settlement Trust UK Simon P. Dingemans
Drayton 2004 Settlement Trust UK Karen R. Cook
French 2004 Settlement Trust UK Christopher G. French
Ling 2004 Settlement Trust UK Anthony W. Ling
Manby 2004 Settlement Trust UK Charles G.R. Manby
Markwick 2004 Settlement Trust UK Robert J. Markwick
O'Neill 2004 Trust Trust UK Terence J. O'Neill
Ransom 2004 Settlement Trust UK Charlotte P. Ransom
RJG Holding Company Corporation Cayman Islands Richard J. Gnodde
Sherwood 2004 Settlement Trust UK Michael S. Sherwood
Westerman 2004 Settlement Trust UK Matthew Westerman
Zurrah Limited Corporation Jersey Yoel Zaoui
</c></table>
-8-
</page><page>
This Amendment No. 73 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. 73 is being filed primarily because the number
of shares of Common Stock (as defined in Item 1 below) beneficially owned by
Covered Persons (as defined in Item 2 below) has decreased by an amount in
excess of one percent of the total number of shares of Common Stock outstanding.
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 individuals ("Covered Persons") who are parties
to a Shareholders' Agreement, dated as of May 7, 1999 and amended and restated
as of June 22, 2004 (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 of each Covered
Person. Each Covered Person is a Participating Managing Director (as defined in
Item 6 below) employed by GS Inc. or one of its affiliates. GS Inc. is a bank
holding company and a global investment banking, securities and investment
management firm. The business address of each Covered Person for purposes of
this Schedule is 85 Broad Street, New York, New York 10004.
Each entity listed on Appendix A under "Reporting Entities" (each a
"Reporting Entity") is a trust or corporation created by or for a Covered Person
for estate planning purposes. Each Reporting Entity is controlled by a Covered
Person. The name, citizenship, business address and present principal occupation
or employment of each of the directors and executive officers of each Reporting
Entity that is a corporation (other than the Covered Person that established the
Reporting Entity) are set forth in Annex A hereto. The business address of each
Reporting Entity 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; and (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.
(d), (e) Except as described in Annex A or Annex B, during the last
five years no Covered Person and, to the best knowledge of the Covered Persons,
no executive officer or director of a Reporting Entity, has been convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
has been a party to a civil proceeding or a judicial or administrative body of
competent jurisdiction resulting in such Covered Person or executive officer or
director 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 Persons have acquired and will acquire shares of Common
Stock in the following manners: (i) the former profit participating limited
partners active in the business of The Goldman Sachs Group, L.P. ("Group L.P.")
(the "IPO PMDs") acquired certain shares of Common Stock in exchange for their
interests in Group L.P. and certain of its affiliates and investee corporations;
(ii) the former owners (the "Acquisition Covered Persons") of Hull and
Associates, L.L.C. ("Hull") acquired certain shares of Common Stock in exchange
for their interests in Hull; and (iii) certain Covered Persons have acquired and
will acquire beneficial ownership of certain shares of Common Stock in
connection with GS Inc.'s initial public offering and/or pursuant to GS Inc.'s
employee compensation, benefit or similar plans. The Reporting Entities have
acquired and may in the future acquire beneficial ownership of shares of Common
Stock as contributions or gifts made by Covered Persons.
-9-
</page><page>
Covered Persons may from time to time acquire shares of Common Stock
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 Covered Persons, other than the Acquisition Covered Persons,
acquired certain shares of Common Stock in connection with the succession of GS
Inc. to the business of Group L.P. and GS Inc.'s initial public offering and/or
through certain employee compensation, benefit or similar plans of GS Inc. The
Acquisition Covered Persons acquired certain shares of Common Stock in
connection with the acquisition by GS Inc. of Hull and through certain employee
compensation, benefit or similar plans of GS Inc. The Reporting Entities
acquired shares of Common Stock as contributions or gifts made by Covered
Persons.
Covered Persons may from time to time acquire shares of Common Stock
for investment purposes. Except as described herein and in Annex C and except
for the acquisition by Covered Persons or their Reporting Entities 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 the acquisition of additional
Common Stock by them or their Reporting Entities 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 or Reporting Entity 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 and Appendix
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 set forth
for each Covered Person and Reporting Entity: the percentage range of Voting
Shares, Shared Ownership Shares, Sixty Day Shares and Other Shares (each as
defined on the cover page hereof) as to which there is sole power to vote or
direct the vote or to dispose or direct the disposition or shared power to vote
or direct the vote or to dispose or direct the disposition. The power to vote
Voting Shares by Covered Persons is shared with each other Covered Person, as
described below in response to Item 6. Each Covered Person hereby disclaims
beneficial ownership of any shares of Common Stock held by any other Covered
Person.
(c) Except as described in Annex E or previously reported on Schedule
13D, no Covered Person or Reporting Entity 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 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. The
Shareholders' Agreement was amended and restated effective as of the close of
business on June 22, 2004. References to the "board of directors" are to the
board of directors of GS Inc.
The Covered Persons under the Shareholders' Agreement include all
Managing Directors of GS Inc. who participate in the GS Inc. Partner
Compensation Plan or Restricted Partner Compensation Plan (each as defined
-10-
</page><page>
in the Shareholders' Agreement) or any other employee benefit plan specified by
the Shareholders' Committee described below under "Information Regarding the
Shareholders' Committee" (the "Participating Managing Directors").
The "Voting Shares" include all of the shares of Common Stock of which
a Covered Person is the sole beneficial owner (excluding shares of Common Stock
held by the trust underlying The Goldman Sachs 401(k) Plan). The interest of a
spouse or domestic partner in a joint account, an economic interest of GS Inc.
as pledgee, and the interest of certain persons in the Reporting Entities and
other approved estate planning vehicles will be disregarded for the purposes of
determining whether a Covered Person is the sole beneficial owner of shares of
Common Stock.
TRANSFER RESTRICTIONS
Each Covered Person has agreed in the Shareholders' Agreement, among
other things, to retain sole beneficial ownership of a number of shares of
Common Stock at least equal to 25% of such Covered Person's Covered Shares (as
defined below) (the "General Transfer Restrictions"). In addition, certain
senior officers designated by the Shareholders' Committee have each agreed to
retain sole beneficial ownership of a number of shares of Common Stock at least
equal to 75% of such Covered Person's Covered Shares (the "Special Transfer
Restrictions" and, together with the General Transfer Restrictions, the
"Transfer Restrictions"). The same shares may be used to satisfy both the
Special Transfer Restrictions and the General Transfer Restrictions. The
Transfer Restrictions applicable to a Covered Person terminate upon the death of
the Covered Person. Shares beneficially owned by a Covered Person through a
Reporting Entity or certain other approved estate planning vehicles established
by Covered Persons are generally deemed to count toward the satisfaction of the
Transfer Restrictions.
For these purposes, "Covered Shares," with respect to a Covered
Person, will be recalculated each time the Covered Person receives Common Stock
underlying an award of restricted stock units, exercises a stock option (not
including, in each case, awards in connection with GS Inc.'s initial public
offering) or receives an award of restricted stock. The calculation of Covered
Shares will include the gross number of shares underlying such restricted stock
units or stock options or the gross number of shares of restricted stock, in
each case less (i) a number of shares determined by reference to tax rates
specified by the Shareholders' Committee and (ii) the number of shares necessary
to cover the option exercise price, if applicable (all as calculated pursuant to
a formula set out in the Shareholders' Agreement). The calculation of Covered
Shares will only take into account awards that occurred after the Covered Person
became a Participating Managing Director. The Shareholders' Committee has the
power to determine, and has determined from time to time in particular
situations, whether shares of Common Stock delivered pursuant to restricted
stock units or stock options are deemed "Covered Shares."
Each of Lloyd C. Blankfein, Gary D. Cohn and David A. Viniar (each an
"Executive") has executed a letter agreement with GS Inc. in which the Executive
agreed that, with certain exceptions, until the earlier of October 1, 2011 and
the date of redemption of all of GS Inc.'s 10% Cumulative Perpetual Preferred
Stock, Series G, (i) the Executive will continue to satisfy the Special Transfer
Restrictions; and (ii) the Executive, his spouse and any estate planning
vehicles will not dispose of more than 10% of the aggregate number of shares of
Common Stock they beneficially owned on September 28, 2008. The form of letter
agreement is filed as an Exhibit to this Schedule, and the foregoing summary of
the letter agreements is qualified in its entirety by reference thereto.
WAIVERS
The Shareholders' Committee has the power to waive, and has waived,
the Transfer Restrictions from time to time to permit Covered Persons to
transfer Common Stock in particular situations (such as transfers to family
members, partnerships or trusts), but not generally. The Shareholders' Committee
also has the power to waive the Transfer Restriction to permit Covered Persons
to: participate as sellers in underwritten public offerings of, and stock
repurchase programs and tender and exchange offers by GS Inc. for, Common Stock;
transfer Common Stock to charities, including charitable foundations; and
transfer Common Stock held in employee benefit plans. Taking into account the
Shareholders' Committee's waivers and determinations regarding Covered Shares to
date, 3,202,390 shares of Common Stock are subject to the Transfer Restrictions.
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 outstanding
Covered Shares; or if the
-11-
</page><page>
board of directors is recommending rejection of the tender or exchange offer, by
66 2/3% of the outstanding Covered Shares.
In the case of a tender or exchange offer by GS Inc., a majority of
the outstanding Covered Shares may also 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 substantially all Voting
Shares on each matter upon which a vote of the shareholders is proposed to be
taken (the "Preliminary Vote"). Each Voting Share will be voted in accordance
with the majority of the votes cast by the Voting Shares in the Preliminary
Vote. In elections of directors, each Voting Share will be voted in favor of the
election of those persons, equal in number to the number of such positions to be
filled, receiving the highest numbers of votes cast by the Voting Shares in the
Preliminary Vote.
OTHER RESTRICTIONS
The Shareholders' Agreement also prohibits Covered Persons from
engaging in certain activities relating to any securities of GS Inc. with any
person who is not a Covered Person or a director, officer or employee of GS Inc.
("Restricted Persons"). Among other things, a Covered Person may not:
participate in a proxy solicitation to or with a Restricted Person; deposit any
shares of Common Stock in a voting trust or subject any shares of Common Stock
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 Covered Shares. The Shareholders' Agreement may generally be amended
at any time by a majority of the outstanding Covered Shares.
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 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 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 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 Covered
Persons. Currently, Lloyd C. Blankfein, Gary D. Cohn and David A. Viniar are the
members of the Shareholders' Committee.
EMPLOYEE BENEFIT PLAN TRANSFER RESTRICTIONS
Shares of Common Stock delivered to Covered Persons pursuant to
certain GS Inc. employee compensation plans and arrangements are subject to
restrictions on transfer. These restrictions lapse at various times depending on
the terms of the grant or award.
-12-
</page><page>
PLEDGE AGREEMENTS
Certain Covered Persons have pledged in the aggregate 842,128 shares
of Common Stock to banks as collateral for loans. A portion of these pledged
shares may be sold from time to time with the consent of the third-party lending
institution.
REGISTRATION RIGHTS INSTRUMENT FOR CHARITABLE DONATIONS
In connection with the donations of shares of Common Stock by certain
Covered Persons to certain charitable organizations on December 13, 1999,
December 22, 2000, December 26, 2001, January 9, 2002, December 23, 2002,
January 8, 2003, December 22, 2003 and January 8, 2004, GS Inc. entered into a
Registration Rights Instrument and five substantially similar Supplemental
Registration Rights Instruments (the "Charitable Supplements"). The following is
a description of the Registration Rights Instrument, as supplemented by the
Charitable Supplements. The Registration Rights Instrument and the Charitable
Supplements are filed as Exhibits to this Schedule, and the following summary of
these agreements is qualified in its entirety by reference thereto.
Pursuant to the Registration Rights Instrument and the Charitable
Supplements, GS Inc. has agreed to register the donated shares of Common Stock
for resale by charitable foundations and public charities. GS Inc. has agreed in
the Registration Rights Instrument and the Charitable Supplements to pay all of
the fees and expenses relating to the offering by the charitable organizations,
other than any agency fees and commissions or underwriting commissions or
discounts or any transfer taxes incurred by the charitable organizations in
connection with their resales. GS Inc. also has agreed to indemnify the
charitable organizations against certain liabilities, including those arising
under the Securities Act.
GS Inc. may amend the Registration Rights Instrument and the
Charitable Supplements in any manner that it deems appropriate, without the
consent of any charitable organization. However, GS Inc. may not make any
amendment that would cause the shares of Common Stock to fail to be "qualified
appreciated stock" within the meaning of Section 170 of the Internal Revenue
Code. In addition, GS Inc. may not make any amendment that would materially and
adversely affect the rights of any charitable organization without the consent
of a majority of the materially and adversely affected charitable organizations.
REGISTRATION RIGHTS INSTRUMENT FOR FORMER EMPLOYEE MANAGING DIRECTORS
In connection with the sale by certain Covered Persons (the "Former
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 Former Employee
Managing Directors, other than any agency fees and commissions or underwriting
commissions or discounts or any transfer taxes incurred by the Former Employee
Managing Directors in connection with the sales. GS Inc. also has agreed to
indemnify the Former Employee Managing Directors against certain liabilities,
including those arising under the Securities Act.
DERIVATIVE INSTRUMENTS
Certain Covered Persons have entered into derivative transactions with
regard to shares of Common Stock as described in Annex F.
-13-
</page><page>
MATERIAL TO BE FILED AS EXHIBITS
<table>
<caption>
Exhibit Description
- ------- ----------------------------------------------------------------------
</caption><s> </s><c>
A. 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)).
B. 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)).
C. 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)).
D. 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)).
E. 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)).
F. 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)).
G. 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)).
H. 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)).
I. 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)).
J. 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.).
K. 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.).
L. 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)).
M. 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.).
N. Amended and Restated Shareholders' Agreement, effective as of the
close of business on June 22, 2004 (incorporated by reference to
Exhibit M to Amendment No. 54 to the Initial Schedule 13D, filed June
22, 2004 (File No. 005-56295)).
O. Form of Letter Agreement, dated September 28, 2008, between certain
Covered Persons and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit O to Amendment No. 71 to the Initial Schedule
13D, filed October 1, 2008 (File No. 005-56295)).
</c></table>
-14-
</page><page>
ANNEX A
INFORMATION REQUIRED AS TO EXECUTIVE OFFICERS AND DIRECTORS OF CORPORATE
REPORTING ENTITIES.
<table>
<caption>
CONVICTIONS OR BENEFICIAL
VIOLATIONS OF OWNERSHIP OF THE
FEDERAL OR COMMON STOCK OF
STATE LAWS WITHIN THE GOLDMAN
NAME CITIZENSHIP BUSINESS ADDRESS PRESENT EMPLOYMENT THE LAST FIVE YEARS SACHS GROUP, INC.
---- ----------- ------------------- ----------------------------- ------------------- -----------------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c>
Steven M. Bunson USA 85 Broad Street Managing Director, None Less than 1% of
New York, NY The Goldman Sachs Group, Inc. the outstanding
10004 shares of Common
Stock.
Michael H. Richardson UK 26 New Street, Partner, Bedell Cristin None None
St. Helier, Jersey,
JE4 3RA
Anthony J. Dessain UK 26 New Street, Partner, Bedell Cristin None None
St. Helier, Jersey,
JE4 3RA
</c></table>
-15-
</page><page>
ANNEX B
ITEMS 2(D)
AND 2(E). INFORMATION REQUIRED AS TO CERTAIN PROCEEDINGS.
None.
-16-
</page><page>
ANNEX C
ITEM 4. PLANNED DISPOSITION OF SECURITIES OF THE ISSUER BY COVERED PERSONS OR
REPORTING ENTITIES.
None.
-17-
</page><page>
ANNEX D
ITEM 5(A). DESCRIPTION OF SHARES AS TO WHICH THERE IS A RIGHT TO ACQUIRE
EXERCISABLE WITHIN 60 DAYS.
An aggregate of 9,022,318 shares of Common Stock are deliverable to Covered
Persons upon the exercise of stock options that have vested and are exercisable.
This share amount includes the gross number of shares of Common Stock underlying
these options, which 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
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 the 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.
Prior to delivery, the shares are included in Sixty Day Shares because the
Covered Persons do not have the right to vote the shares. Upon delivery, the
shares become Voting Shares.
-18-
</page><page>
ANNEX E
ITEM 5(C). DESCRIPTION OF ALL TRANSACTIONS IN THE COMMON STOCK EFFECTED BY
COVERED PERSONS OR REPORTING ENTITIES IN THE PAST 60 DAYS AND NOT
PREVIOUSLY REPORTED ON SCHEDULE 13D.
The following sales of Voting Shares were made by the following Covered Persons
or Reporting Entities through one or more subsidiaries of GS Inc. for cash on
the New York Stock Exchange or by delivery to counterparties upon settlement of
derivative transactions:
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Stephen Branton-Speak March 20, 2009 6,900 70.0000
Stephen Branton-Speak March 20, 2009 6,000 80.0000
Nicholas F. Burgin March 20, 2009 2,500 95.0000
Simon Dingemans March 20, 2009 20,000 95.0000
Christopher G. French March 20, 2009 5,000 90.0000
Christopher G. French March 20, 2009 5,000 95.0000
Robert A. McTamaney March 20, 2009 27,100 90.0000
Ravi Sinha March 20, 2009 10,000 90.0000
Edward M. Siskind March 20, 2009 4,600 95.0000
David H. Voon March 20, 2009 2,500 65.0000
Theodore T. Wang March 20, 2009 3,000 80.0000
C. Howard Wietschner March 20, 2009 800 65.0000
C. Howard Wietschner March 20, 2009 1,600 70.0000
C. Howard Wietschner March 20, 2009 500 75.0000
C. Howard Wietschner March 20, 2009 1,100 80.0000
C. Howard Wietschner March 20, 2009 700 85.0000
C. Howard Wietschner March 20, 2009 500 90.0000
David B. Heller April 13, 2009 4,200 60.0000
Gregory A. Agran April 15, 2009 5,082 119.1258
Frances R. Bermanzohn April 15, 2009 15,416 119.0000
Patrick T. Boyle April 15, 2009 7,625 118.8000
Anne F. Brennan April 15, 2009 2,087 120.8504
Nicholas F. Burgin April 15, 2009 6,808 118.5000
Mary D. Byron April 15, 2009 2,713 120.6863
Thomas G. Connolly April 15, 2009 16,727 117.7266
Frank L. Coulson, Jr. April 15, 2009 1,965 119.3649
Frank L. Coulson, Jr. April 15, 2009 2,000 120.7405
Jeffrey R. Currie April 15, 2009 1,000 119.0000
John S. Daly April 15, 2009 1,000 121.0540
Albert F. Dombrowski April 15, 2009 13,157 117.7576
James P. Esposito April 15, 2009 5,000 119.1802
Colleen A. Foster April 15, 2009 2,500 120.0240
Matthew T. Fremont-Smith April 15, 2009 10,500 119.1347
James R. Garman April 15, 2009 1,000 119.0000
Gary T. Giglio April 15, 2009 2,000 117.0885
Justin G. Gmelich April 15, 2009 10,000 119.4104
David J. Greenwald April 15, 2009 1,000 119.4720
Paul J. Huchro April 15, 2009 3,633 114.8557
Alastair J. Hunt April 15, 2009 5,120 119.7557
Hidehiro Imatsu April 15, 2009 3,000 119.0000
Hidehiro Imatsu April 15, 2009 3,000 119.0000
Hidehiro Imatsu April 15, 2009 2,014 119.0000
Hidehiro Imatsu April 15, 2009 6,782 119.0000
Hidehiro Imatsu April 15, 2009 3,000 119.9000
</c></table>
-19-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
J. Christopher A. Kojima April 15, 2009 800 120.7000
J. Christopher A. Kojima April 15, 2009 1,100 120.7100
J. Christopher A. Kojima April 15, 2009 100 120.7400
J. Christopher A. Kojima April 15, 2009 100 120.7400
J. Christopher A. Kojima April 15, 2009 100 120.7400
J. Christopher A. Kojima April 15, 2009 200 120.7400
J. Christopher A. Kojima April 15, 2009 100 120.7500
J. Christopher A. Kojima April 15, 2009 100 120.7500
J. Christopher A. Kojima April 15, 2009 100 120.7500
J. Christopher A. Kojima April 15, 2009 100 120.7500
J. Christopher A. Kojima April 15, 2009 100 120.7600
J. Christopher A. Kojima April 15, 2009 100 120.7600
Eric S. Lane April 15, 2009 4,000 118.7315
Eric S. Lane April 15, 2009 5,000 122.0000
John J. Lauto April 15, 2009 2,000 117.5825
Gregg R. Lemkau April 15, 2009 4,000 119.2283
David M. Marcinek April 15, 2009 200 120.0000
David M. Marcinek April 15, 2009 200 120.0000
David M. Marcinek April 15, 2009 300 120.0000
David M. Marcinek April 15, 2009 600 120.0000
David M. Marcinek April 15, 2009 200 120.0000
David M. Marcinek April 15, 2009 200 120.0000
John J. McGuire, Jr. April 15, 2009 939 120.7500
Christopher Milner April 15, 2009 2,000 119.0000
Christopher Milner April 15, 2009 5,000 119.0000
Christopher Milner April 15, 2009 3,669 120.0000
Gavin G. O'Connor April 15, 2009 1,653 115.8121
Craig Packer April 15, 2009 5,000 119.0000
Jeffrey A. Resnick April 15, 2009 1,300 118.8700
Jeffrey A. Resnick April 15, 2009 100 118.8900
Jeffrey A. Resnick April 15, 2009 100 118.8900
Jeffrey A. Resnick April 15, 2009 100 118.8900
Jeffrey A. Resnick April 15, 2009 400 118.9000
Jeffrey A. Resnick April 15, 2009 200 118.9000
Jeffrey A. Resnick April 15, 2009 100 118.9100
Jeffrey A. Resnick April 15, 2009 100 118.9100
Jeffrey A. Resnick April 15, 2009 100 118.9200
Michael J. Richman April 15, 2009 1,299 119.0000
Ivan Ross April 15, 2009 1,000 119.8610
Richard M. Ruzika April 15, 2009 20,000 118.2404
Katsunori Sago April 15, 2009 7,000 121.8000
Ankur A. Sahu April 15, 2009 8,728 120.0000
Edward M. Siskind April 15, 2009 8,589 118.2758
Edward M. Siskind April 15, 2009 8,911 118.2758
David M. Solomon April 15, 2009 11,000 120.0000
Marc A. Spilker April 15, 2009 30,000 118.3006
Ram K. Sundaram April 15, 2009 500 116.3600
Ram K. Sundaram April 15, 2009 100 116.3700
Ram K. Sundaram April 15, 2009 700 116.3700
Ram K. Sundaram April 15, 2009 100 116.3900
Ram K. Sundaram April 15, 2009 100 116.4100
Ram K. Sundaram April 15, 2009 100 116.4100
Ram K. Sundaram April 15, 2009 200 116.4100
Ram K. Sundaram April 15, 2009 100 116.4100
</c></table>
-20-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Ram K. Sundaram April 15, 2009 100 116.4100
Michael A. Troy April 15, 2009 8,193 119.6023
Eiji Ueda April 15, 2009 14,724 119.0000
Andrea A. Vittorelli April 15, 2009 2,000 119.8389
Dean C. Backer April 16, 2009 9,536 120.0675
Dean C. Backer April 16, 2009 7,785 120.0675
Dean C. Backer April 16, 2009 2,679 120.0675
Stuart N. Bernstein April 16, 2009 500 121.2080
Leslie A. Biddle April 16, 2009 3,623 121.3912
Jason M. Brown April 16, 2009 20,000 123.0000
Mary D. Byron April 16, 2009 2,997 121.4227
Laura C. Conigliaro April 16, 2009 2,100 121.2137
Frank L. Coulson, Jr. April 16, 2009 2,000 122.0690
Christopher G. French April 16, 2009 835 123.0000
Gary T. Giglio April 16, 2009 1,000 122.0000
Gary T. Giglio April 16, 2009 1,000 122.0220
David J. Greenwald April 16, 2009 3,000 122.1226
Martin Hintze April 16, 2009 600 121.1183
Eric S. Lane April 16, 2009 10,000 121.4703
Michiel P. Lap April 16, 2009 2,311 121.0590
John J. Lauto April 16, 2009 1,000 123.0000
Brian J. Lee April 16, 2009 200 121.9300
Brian J. Lee April 16, 2009 400 121.9300
Brian J. Lee April 16, 2009 100 121.9400
Philip J. Moffitt April 16, 2009 750 121.2180
Jeffrey A. Resnick April 16, 2009 100 121.5900
Jeffrey A. Resnick April 16, 2009 500 121.5900
Jeffrey A. Resnick April 16, 2009 700 121.6000
Jeffrey A. Resnick April 16, 2009 600 121.6100
Jeffrey A. Resnick April 16, 2009 800 121.6200
Jeffrey A. Resnick April 16, 2009 1,100 121.6300
Jeffrey A. Resnick April 16, 2009 200 121.6400
Jeffrey A. Resnick April 16, 2009 400 121.6500
Jeffrey A. Resnick April 16, 2009 200 121.6600
Jeffrey A. Resnick April 16, 2009 100 121.6900
Jeffrey A. Resnick April 16, 2009 100 121.6900
Jeffrey A. Resnick April 16, 2009 100 121.7000
Jeffrey A. Resnick April 16, 2009 100 121.7000
Ivan Ross April 16, 2009 500 121.4020
Ivan Ross April 16, 2009 500 122.1700
Paul M. Russo April 16, 2009 5,000 120.5984
Paul M. Russo April 16, 2009 5,000 120.7600
Paul M. Russo April 16, 2009 3,700 121.7100
Katsunori Sago April 16, 2009 7,000 123.0000
Karen D. Seitz April 16, 2009 9,041 121.6890
Edward M. Siskind April 16, 2009 9,644 121.4669
Edward M. Siskind April 16, 2009 6,856 121.4669
David M. Solomon April 16, 2009 5,500 121.1989
Marc A. Spilker April 16, 2009 26,190 121.1918
Marc A. Spilker April 16, 2009 112 121.1918
Peter K. Tomozawa April 16, 2009 800 121.5000
Peter K. Tomozawa April 16, 2009 200 121.5000
Peter K. Tomozawa April 16, 2009 1,000 122.0690
Michael A. Troy April 16, 2009 5,766 121.1394
</c></table>
-21-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Greg A. Tusar April 16, 2009 827 121.0024
Eiji Ueda April 16, 2009 10,000 123.0000
Gregory A. Agran April 17, 2009 15,000 80.0000
Gregory A. Agran April 17, 2009 10,000 105.0000
Leslie A. Biddle April 17, 2009 2,000 85.0000
Nicholas F. Burgin April 17, 2009 3,000 80.0000
Nicholas F. Burgin April 17, 2009 2,000 85.0000
Nicholas F. Burgin April 17, 2009 2,000 90.0000
Nicholas F. Burgin April 17, 2009 2,000 95.0000
Lik Shuen David Chan April 17, 2009 27,500 95.0000
Peter H. Comisar April 17, 2009 1,000 75.0000
Peter H. Comisar April 17, 2009 2,000 90.0000
Peter H. Comisar April 17, 2009 1,000 95.0000
Frank L. Coulson, Jr. April 17, 2009 2,000 121.7970
Stephen D. Daniel April 17, 2009 5,000 90.0000
Kathleen G. Elsesser April 17, 2009 4,500 105.0000
Luca D. Ferrari April 17, 2009 5,200 95.0000
Gonzalo R. Garcia April 17, 2009 2,503 121.1800
Gary T. Giglio April 17, 2009 1,000 122.5360
David J. Greenwald April 17, 2009 2,500 70.0000
David J. Greenwald April 17, 2009 2,500 80.0000
Edward G. Hadden April 17, 2009 8,600 85.0000
David B. Heller April 17, 2009 20,800 60.0000
Martin Hintze April 17, 2009 100 121.1600
Maykin Ho April 17, 2009 7,500 110.0000
William L. Jacob III April 17, 2009 7,200 95.0000
William L. Jacob III April 17, 2009 7,200 100.0000
J. Christopher A. Kojima April 17, 2009 200 120.2400
J. Christopher A. Kojima April 17, 2009 100 120.2400
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2500
J. Christopher A. Kojima April 17, 2009 100 120.2600
J. Christopher A. Kojima April 17, 2009 100 120.4200
J. Christopher A. Kojima April 17, 2009 100 120.4500
J. Christopher A. Kojima April 17, 2009 100 120.4500
J. Christopher A. Kojima April 17, 2009 100 120.4500
J. Christopher A. Kojima April 17, 2009 100 120.4560
J. Christopher A. Kojima April 17, 2009 100 120.4600
J. Christopher A. Kojima April 17, 2009 100 120.4600
J. Christopher A. Kojima April 17, 2009 100 120.4600
J. Christopher A. Kojima April 17, 2009 100 120.4600
J. Christopher A. Kojima April 17, 2009 100 120.4800
Simon I. Mansfield April 17, 2009 15,000 110.0000
David M. Marcinek April 17, 2009 900 122.0200
David M. Marcinek April 17, 2009 100 122.0300
David M. Marcinek April 17, 2009 100 122.0400
David M. Marcinek April 17, 2009 400 122.0400
Alison J. Mass April 17, 2009 35,000 100.0000
Jeffrey M. Moslow April 17, 2009 9,000 90.0000
Jeffrey M. Moslow April 17, 2009 15,000 100.0000
</c></table>
-22-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Jeffrey M. Moslow April 17, 2009 5,000 105.0000
Jeffrey M. Moslow April 17, 2009 5,000 110.0000
L. Peter O'Hagan April 17, 2009 20,000 75.0000
L. Peter O'Hagan April 17, 2009 10,000 85.0000
Todd G. Owens April 17, 2009 1,000 110.0000
Richard H. Powers April 17, 2009 10,000 105.0000
Dioscoro-Roy I. Ramos April 17, 2009 4,300 105.0000
Joseph Ravitch April 17, 2009 5,500 90.0000
Joseph Ravitch April 17, 2009 5,600 95.0000
Jeffrey A. Resnick April 17, 2009 10,000 65.0000
Jeffrey A. Resnick April 17, 2009 2,500 75.0000
Jeffrey A. Resnick April 17, 2009 2,500 80.0000
Jeffrey A. Resnick April 17, 2009 17,500 80.0000
Jeffrey A. Resnick April 17, 2009 5,000 85.0000
Jeffrey A. Resnick April 17, 2009 5,000 90.0000
Scott A. Romanoff April 17, 2009 3,000 95.0000
Ivan Ross April 17, 2009 2,000 100.0000
Ivan Ross April 17, 2009 300 121.9367
Paul M. Russo April 17, 2009 5,000 75.0000
Paul M. Russo April 17, 2009 5,000 80.0000
Paul M. Russo April 17, 2009 1,300 85.0000
Richard M. Ruzika April 17, 2009 30,000 90.0000
Stephen M. Scherr April 17, 2009 5,900 90.0000
Clare R. Scherrer April 17, 2009 5,000 90.0000
Howard B. Schiller April 17, 2009 20,000 100.0000
Howard B. Schiller April 17, 2009 20,000 110.0000
Paul D. Scialla April 17, 2009 300 120.3100
Paul D. Scialla April 17, 2009 100 120.3200
Paul D. Scialla April 17, 2009 100 120.3200
Paul D. Scialla April 17, 2009 100 120.3300
Paul D. Scialla April 17, 2009 900 120.3300
Paul D. Scialla April 17, 2009 100 120.3300
Paul D. Scialla April 17, 2009 100 120.3400
Peter E. Scialla April 17, 2009 400 120.0200
Peter E. Scialla April 17, 2009 100 120.0300
Peter E. Scialla April 17, 2009 150 120.1200
Peter E. Scialla April 17, 2009 100 120.1200
Peter E. Scialla April 17, 2009 100 120.1200
Peter E. Scialla April 17, 2009 100 120.1200
Peter E. Scialla April 17, 2009 100 120.1200
Peter E. Scialla April 17, 2009 100 120.1300
Peter E. Scialla April 17, 2009 100 120.1300
Peter D. Selman April 17, 2009 10,000 120.6788
Gavin Simms April 17, 2009 4,000 80.0000
Gavin Simms April 17, 2009 2,000 85.0000
Edward M. Siskind April 17, 2009 15,807 121.1815
Edward M. Siskind April 17, 2009 693 121.1815
David H. Voon April 17, 2009 6,800 80.0000
Paul Walker April 17, 2009 1,000 120.3500
C. Howard Wietschner April 17, 2009 300 70.0000
C. Howard Wietschner April 17, 2009 300 80.0000
C. Howard Wietschner April 17, 2009 900 90.0000
John S. Willian April 17, 2009 2,000 100.0000
W. Thomas York, Jr. April 17, 2009 2,000 105.0000
</c></table>
-23-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
W. Thomas York, Jr. April 17, 2009 2,000 110.0000
Paul M. Young April 17, 2009 10,000 100.0000
Paul M. Young April 17, 2009 7,306 121.8597
James P. Esposito April 20, 2009 5,229 116.8300
Jeffrey A. Resnick April 20, 2009 200 117.0700
Jeffrey A. Resnick April 20, 2009 1,800 117.0800
Jeffrey A. Resnick April 20, 2009 100 117.1100
Jeffrey A. Resnick April 20, 2009 100 117.1100
Jeffrey A. Resnick April 20, 2009 100 117.1100
Jeffrey A. Resnick April 20, 2009 100 117.1200
Jeffrey A. Resnick April 20, 2009 100 117.1400
Jeffrey A. Resnick April 20, 2009 1,200 117.3100
Jeffrey A. Resnick April 20, 2009 100 117.3300
Jeffrey A. Resnick April 20, 2009 200 117.3400
Jeffrey A. Resnick April 20, 2009 200 117.3400
Jeffrey A. Resnick April 20, 2009 100 117.3600
Jeffrey A. Resnick April 20, 2009 100 117.3600
Jeffrey A. Resnick April 20, 2009 100 117.3600
Jeffrey A. Resnick April 20, 2009 200 117.3600
Jeffrey A. Resnick April 20, 2009 100 117.3700
Jeffrey A. Resnick April 20, 2009 100 117.3800
Jeffrey A. Resnick April 20, 2009 100 117.3900
John D. Storey April 20, 2009 400 115.9600
John D. Storey April 20, 2009 100 115.9700
John D. Storey April 20, 2009 100 115.9808
John D. Storey April 20, 2009 100 115.9900
John D. Storey April 20, 2009 100 115.9900
John D. Storey April 20, 2009 100 115.9900
John D. Storey April 20, 2009 164 116.0100
John D. Storey April 20, 2009 100 116.0100
John D. Storey April 20, 2009 100 116.0100
John D. Storey April 20, 2009 100 116.0100
John D. Storey April 20, 2009 100 116.0200
Steven H. Strongin April 20, 2009 12,960 116.5649
Ram K. Sundaram April 20, 2009 1,000 116.7500
John S. Willian April 20, 2009 3,000 115.9391
William J. Conley, Jr. April 21, 2009 2,000 120.2520
Frank L. Coulson, Jr. April 21, 2009 2,000 120.0915
James V. Covello April 21, 2009 7,753 120.3475
Edward K. Eisler April 21, 2009 1,000 120.0000
Edward K. Eisler April 21, 2009 1,000 121.0000
Enrico S. Gaglioti April 21, 2009 5,000 119.1680
Gary T. Giglio April 21, 2009 1,922 119.7587
Eric S. Lane April 21, 2009 2,500 120.2535
Allan S. Marson April 21, 2009 2,000 115.0000
Bernard A. Mensah April 21, 2009 1,000 118.7390
Bernard A. Mensah April 21, 2009 1,000 120.0000
Katsunori Sago April 21, 2009 7,000 119.3000
Paul D. Scialla April 21, 2009 100 119.2800
Paul D. Scialla April 21, 2009 250 119.3200
Paul D. Scialla April 21, 2009 100 119.3200
Paul D. Scialla April 21, 2009 100 119.3200
Shahriar Tadjbakhsh April 21, 2009 5,000 120.1829
John E. Waldron April 21, 2009 2,500 120.3984
</c></table>
-24-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Martin Cher April 22, 2009 1,000 123.0000
Frank L. Coulson, Jr. April 22, 2009 2,000 122.5655
Edward K. Eisler April 22, 2009 1,000 122.0000
Edward K. Eisler April 22, 2009 1,000 123.0000
Edward K. Eisler April 22, 2009 1,000 124.0000
Timur F. Galen April 22, 2009 4,981 122.1592
David J. Greenwald April 22, 2009 1,000 123.2290
David B. Heller April 22, 2009 5,000 123.7233
J. Christopher A. Kojima April 22, 2009 300 124.2400
J. Christopher A. Kojima April 22, 2009 100 124.2400
J. Christopher A. Kojima April 22, 2009 100 124.2400
Eric S. Lane April 22, 2009 9,000 123.2297
Gregg R. Lemkau April 22, 2009 2,000 123.7035
John A. Mahoney April 22, 2009 7,000 122.2719
Alison J. Mass April 22, 2009 100 120.4500
John W. McMahon April 22, 2009 5,000 121.6681
Gene Reilly April 22, 2009 500 121.5000
Gene Reilly April 22, 2009 400 121.5000
Gene Reilly April 22, 2009 100 121.5000
Gene Reilly April 22, 2009 100 121.5000
Ivan Ross April 22, 2009 400 122.0275
Katsunori Sago April 22, 2009 7,000 122.3000
Magid N. Shenouda April 22, 2009 7,924 121.7159
Marshall Smith April 22, 2009 200 124.3900
Marshall Smith April 22, 2009 113 124.4000
Marshall Smith April 22, 2009 100 124.4000
Marshall Smith April 22, 2009 100 124.4100
Peter K. Tomozawa April 22, 2009 200 122.5000
Peter K. Tomozawa April 22, 2009 100 122.5000
Peter K. Tomozawa April 22, 2009 200 122.5000
Peter K. Tomozawa April 22, 2009 100 122.5000
Peter K. Tomozawa April 22, 2009 100 122.5000
Peter K. Tomozawa April 22, 2009 300 122.5000
Peter K. Tomozawa April 22, 2009 293 123.0000
Robin A. Vince April 22, 2009 800 123.2800
Robin A. Vince April 22, 2009 500 123.2900
Robin A. Vince April 22, 2009 100 123.3000
Robin A. Vince April 22, 2009 200 123.3100
Robin A. Vince April 22, 2009 184 123.3500
Robin A. Vince April 22, 2009 153 124.3700
Robin A. Vince April 22, 2009 100 124.3700
C. Howard Wietschner April 22, 2009 20 124.3300
Douglas L. Feagin April 23, 2009 2,805 120.1486
Jonathan A. Langer April 23, 2009 2,135 119.4077
Ivan Ross April 23, 2009 400 120.6300
Frank L. Coulson, Jr. April 24, 2009 2,000 122.9780
Celeste A. Guth April 24, 2009 2,000 123.5000
Eric S. Lane April 24, 2009 1,500 123.2193
Ivan Ross April 24, 2009 500 122.6940
Robin A. Vince April 24, 2009 600 121.5000
Robin A. Vince April 24, 2009 100 121.5000
Robin A. Vince April 24, 2009 100 121.5000
Robin A. Vince April 24, 2009 200 121.5000
Susan A. Willetts April 24, 2009 5,000 123.0986
</c></table>
-25-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
W. Thomas York, Jr. April 24, 2009 1,000 123.5000
Frank L. Coulson, Jr. April 27, 2009 2,000 123.1175
Katinka I. Domotorffy April 27, 2009 2,978 123.0816
Timothy M. Kingston April 27, 2009 5,000 124.0000
Eric S. Lane April 27, 2009 2,000 123.3750
Gene Reilly April 27, 2009 6 121.5000
Ivan Ross April 27, 2009 190 123.9100
Ivan Ross April 27, 2009 310 123.9300
Julian Salisbury April 27, 2009 7,380 122.8374
John E. Waldron April 27, 2009 2,500 123.9105
W. Thomas York, Jr. April 27, 2009 1,000 124.0000
James R. Garman April 28, 2009 500 120.0000
Celeste A. Guth April 28, 2009 2,000 120.0625
Gene Reilly April 28, 2009 400 122.0000
Gene Reilly April 28, 2009 400 122.0000
Gene Reilly April 28, 2009 200 122.0000
Gregory A. Agran April 29, 2009 5,000 125.0000
Jin Yong Cai April 29, 2009 5,100 125.0000
Jane P. Chwick April 29, 2009 5,000 125.0000
Abby Joseph Cohen April 29, 2009 500 127.0000
William J. Conley, Jr. April 29, 2009 2,000 126.7840
Thomas W. Cornacchia April 29, 2009 5,000 126.0000
Frank L. Coulson, Jr. April 29, 2009 4,000 124.6516
James R. Garman April 29, 2009 500 127.0000
Justin G. Gmelich April 29, 2009 5,000 125.8957
Celeste A. Guth April 29, 2009 2,000 126.4855
J. Christopher A. Kojima April 29, 2009 100 125.3300
J. Christopher A. Kojima April 29, 2009 100 125.3400
J. Christopher A. Kojima April 29, 2009 100 125.3400
J. Christopher A. Kojima April 29, 2009 100 125.3400
J. Christopher A. Kojima April 29, 2009 100 125.3400
J. Christopher A. Kojima April 29, 2009 100 127.1700
J. Christopher A. Kojima April 29, 2009 100 127.1700
J. Christopher A. Kojima April 29, 2009 100 127.1700
J. Christopher A. Kojima April 29, 2009 100 127.1700
J. Christopher A. Kojima April 29, 2009 100 127.1800
Gregg R. Lemkau April 29, 2009 2,200 126.3768
Peter J. Lyon April 29, 2009 9,900 125.0000
L. Peter O'Hagan April 29, 2009 10,000 125.3081
Gene Reilly April 29, 2009 100 122.9000
Gene Reilly April 29, 2009 400 122.9000
Gene Reilly April 29, 2009 300 122.9000
Gene Reilly April 29, 2009 100 122.9000
Gene Reilly April 29, 2009 100 122.9000
Gene Reilly April 29, 2009 400 123.7500
Gene Reilly April 29, 2009 100 123.7500
Gene Reilly April 29, 2009 100 123.7500
Gene Reilly April 29, 2009 400 123.7500
Gene Reilly April 29, 2009 1,000 125.0000
Gene Reilly April 29, 2009 200 125.9000
Gene Reilly April 29, 2009 200 125.9000
Gene Reilly April 29, 2009 200 125.9000
Gene Reilly April 29, 2009 200 125.9000
Gene Reilly April 29, 2009 100 125.9000
</c></table>
-26-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Gene Reilly April 29, 2009 100 125.9000
Gene Reilly April 29, 2009 400 127.0000
Gene Reilly April 29, 2009 100 127.0000
Gene Reilly April 29, 2009 500 127.0000
Michael Rimland April 29, 2009 8,000 126.4065
Ivan Ross April 29, 2009 700 125.7000
Ivan Ross April 29, 2009 300 127.0600
Katsunori Sago April 29, 2009 7,000 127.8000
Paul D. Scialla April 29, 2009 250 127.3400
Ravi Sinha April 29, 2009 10,000 125.0000
Ram K. Sundaram April 29, 2009 700 125.9500
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Ram K. Sundaram April 29, 2009 100 125.9700
Peter K. Tomozawa April 29, 2009 400 125.0000
Peter K. Tomozawa April 29, 2009 500 125.0000
Peter K. Tomozawa April 29, 2009 100 125.0000
Eiji Ueda April 29, 2009 10,000 127.9000
Robin A. Vince April 29, 2009 100 123.3000
Robin A. Vince April 29, 2009 100 123.3000
Robin A. Vince April 29, 2009 800 123.3000
John E. Waldron April 29, 2009 2,500 126.3370
Martin Wiwen-Nilsson April 29, 2009 2,000 125.0000
Martin Wiwen-Nilsson April 29, 2009 2,000 125.0000
W. Thomas York, Jr. April 29, 2009 2,000 125.0000
Oliver R. Bolitho April 30, 2009 2,707 128.4700
Martin Hintze April 30, 2009 467 127.4314
John J. Lauto April 30, 2009 1,000 128.4700
Gene Reilly April 30, 2009 129 128.9000
Jeffrey A. Resnick April 30, 2009 2,100 127.1400
Jeffrey A. Resnick April 30, 2009 500 127.1500
Jeffrey A. Resnick April 30, 2009 500 127.1600
Jeffrey A. Resnick April 30, 2009 600 127.1700
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1800
Jeffrey A. Resnick April 30, 2009 100 127.1900
Jeffrey A. Resnick April 30, 2009 100 127.1900
Jeffrey A. Resnick April 30, 2009 100 127.1900
Jeffrey A. Resnick April 30, 2009 100 127.1900
Jeffrey A. Resnick April 30, 2009 200 127.1900
Katsunori Sago April 30, 2009 7,000 128.8000
Guy E. Saidenberg April 30, 2009 4,100 129.6000
Marshall Smith April 30, 2009 100 126.7500
Marshall Smith April 30, 2009 100 126.7600
</c></table>
-27-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Marshall Smith April 30, 2009 100 126.7900
Marshall Smith April 30, 2009 100 126.8000
Marshall Smith April 30, 2009 100 126.8000
Ram K. Sundaram April 30, 2009 100 127.9000
Ram K. Sundaram April 30, 2009 100 127.9000
Ram K. Sundaram April 30, 2009 200 127.9000
Ram K. Sundaram April 30, 2009 100 127.9000
Frederick Towfigh April 30, 2009 1,000 128.4700
Orit Freedman Weissman April 30, 2009 17,199 126.7019
Jane P. Chwick May 1, 2009 5,000 130.0000
Celeste A. Guth May 1, 2009 2,000 130.0000
Hidehiro Imatsu May 1, 2009 3,000 129.9000
Timothy M. Kingston May 1, 2009 5,000 130.0000
Mitchell J. Lieberman May 1, 2009 5,000 129.2538
Robert A. McTamaney May 1, 2009 57 129.0200
L. Peter O'Hagan May 1, 2009 5,000 129.6286
Craig Packer May 1, 2009 5,000 130.0000
Gene Reilly May 1, 2009 200 130.0000
Gene Reilly May 1, 2009 500 130.0000
Gene Reilly May 1, 2009 300 130.0000
Guy E. Saidenberg May 1, 2009 5,900 129.6092
Steve M. Scopellite May 1, 2009 5,000 130.0000
Thomas W. Cornacchia May 4, 2009 5,000 131.0350
Frank L. Coulson, Jr. May 4, 2009 2,000 131.3255
Justin G. Gmelich May 4, 2009 5,000 129.7218
Paul Graves May 4, 2009 100 131.2000
Paul Graves May 4, 2009 100 131.2200
Paul Graves May 4, 2009 100 131.2200
Timothy J. Ingrassia May 4, 2009 7,000 133.8400
James C. Katzman May 4, 2009 6,000 130.1562
J. Christopher A. Kojima May 4, 2009 250 129.4800
J. Christopher A. Kojima May 4, 2009 100 130.4600
J. Christopher A. Kojima May 4, 2009 100 130.4600
J. Christopher A. Kojima May 4, 2009 100 131.3000
Mitchell J. Lieberman May 4, 2009 5,000 131.0164
Mitchell J. Lieberman May 4, 2009 5,000 133.0914
David M. Marcinek May 4, 2009 100 129.1300
David M. Marcinek May 4, 2009 100 129.1300
David M. Marcinek May 4, 2009 100 129.1300
David M. Marcinek May 4, 2009 100 129.1300
David M. Marcinek May 4, 2009 400 129.1300
David M. Marcinek May 4, 2009 100 129.1400
David M. Marcinek May 4, 2009 100 129.1400
L. Peter O'Hagan May 4, 2009 5,000 134.0000
Richard H. Powers May 4, 2009 15,000 130.0000
Ivan Ross May 4, 2009 500 129.5980
David C. Ryan May 4, 2009 5,000 132.7397
Katsunori Sago May 4, 2009 7,000 131.8000
Katsunori Sago May 4, 2009 7,000 132.8000
Katsunori Sago May 4, 2009 5,672 133.8000
Paul D. Scialla May 4, 2009 250 129.8900
Karen D. Seitz May 4, 2009 1,000 131.1880
Marshall Smith May 4, 2009 500 130.0000
Marshall Smith May 4, 2009 400 134.0400
</c></table>
-28-
</page><page>
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Marshall Smith May 4, 2009 100 134.0500
Ram K. Sundaram May 4, 2009 505 134.1800
Ram K. Sundaram May 4, 2009 200 134.1900
Shahriar Tadjbakhsh May 4, 2009 5,000 131.3784
John E. Waldron May 4, 2009 2,000 130.4795
Paul Walker May 4, 2009 100 129.3700
Paul Walker May 4, 2009 100 129.3700
Paul Walker May 4, 2009 100 129.3700
Paul Walker May 4, 2009 100 129.3700
Paul Walker May 4, 2009 100 129.3700
Paul Walker May 4, 2009 147 133.2600
Paul Walker May 4, 2009 100 133.2600
Gregg S. Weinstein May 4, 2009 2,500 130.8208
Martin Wiwen-Nilsson May 4, 2009 2,000 133.0000
</c></table>
The following purchases of Voting Shares were made by the following Covered
Persons through one or more subsidiaries of GS Inc. for cash on the New York
Stock Exchange or by delivery from counterparties upon settlement of derivative
transactions:
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Todd A. Williams April 15, 2009 4,310 116.0081
Simon I. Mansfield April 17, 2009 15,000 95.0000
David M. Ryan April 30, 2009 3,900 128.0000
Steven M. Feldman May 4, 2009 104 129.4800
</c></table>
The following sales of Other Shares were made by family members of the following
Covered Persons or by estate planning entities (which are not Reporting
Entities) established by the following Covered Persons or through one or more
subsidiaries of GS Inc. for cash on the New York Stock Exchange or by delivery
to counterparties upon settlement of derivative transactions:
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Andrew M. Gordon April 15, 2009 5,000 120.0000
Marc O. Nachmann April 15, 2009 4,000 116.1408
Andrew M. Gordon April 16, 2009 5,000 122.0774
Jeffrey P. Nedelman April 16, 2009 4,000 122.9109
Marc O. Nachmann April 17, 2009 1,000 85.0000
Marc O. Nachmann April 17, 2009 1,500 90.0000
Marc O. Nachmann April 17, 2009 1,000 120.0000
Marc O. Nachmann April 20, 2009 1,000 118.0000
Andrew M. Gordon April 27, 2009 2,000 122.0730
George C. Lee II April 27, 2009 5,000 123.8693
Andrew M. Gordon April 29, 2009 5,000 125.0000
Andrew M. Gordon April 29, 2009 116 126.8416
Andrew M. Gordon April 29, 2009 100 126.8900
Andrew M. Gordon April 29, 2009 153 126.9400
Andrew M. Gordon April 29, 2009 1,630 127.2293
Andrew M. Gordon May 4, 2009 6,000 132.0000
Andrew M. Gordon May 4, 2009 4,368 132.2000
Gene T. Sykes May 4, 2009 10,000 130.2353
</c></table>
-29-
</page><page>
The following purchases of Other Shares were made by family members of the
following Covered Persons or by estate planning entities (which are not
Reporting Entities) established by the following Covered Persons through one or
more subsidiaries of GS Inc. for cash on the New York Stock Exchange or by
delivery from counterparties upon settlement of derivative transactions:
<table>
<caption>
COVERED PERSON TRADE DATE NUMBER OF SHARES PRICE PER SHARE (IN $)
- ----------------------------- ------------------ ---------------- ----------------------
</caption><s> </s><c> </c><c> </c><c>
Todd A. Williams April 15, 2009 198 116.0400
Todd A. Williams April 15, 2009 198 116.0700
David M. Ryan April 30, 2009 3,900 128.0000
</c></table>
The following cashless exercises of stock options were effected by the following
Covered Persons, with the indicated number of underlying shares sold through an
affiliate of Mellon Investor Services LLC for cash on the New York Stock
Exchange:
<table>
<caption>
NUMBER STRIKE SALES NUMBER NUMBER
OF PRICE PRICE OF SHARES OF SHARES
COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED
- ------------------------ ------------------ ------- ------ -------- --------- ---------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c> </c><c>
John A. Ashdown April 15, 2009 2,500 53.00 117.3788 2,500 0
Mary D. Byron April 15, 2009 1,566 82.875 120.0000 1,566 0
Valentino D. Carlotti April 15, 2009 3,424 53.00 119.0000 3,424 0
Lik Shuen David Chan April 15, 2009 5,000 53.00 121.0000 5,000 0
Christopher A. Cole April 15, 2009 5,011 82.875 120.0000 5,011 0
Rumiko Hasegawa April 15, 2009 3,000 53.00 120.0000 3,000 0
Gwen R. Libstag April 15, 2009 7,000 53.00 120.0000 4,964 2,036
Mitchell J. Lieberman April 15, 2009 5,000 53.00 120.5558 5,000 0
John J. McCabe April 15, 2009 500 53.00 117.2500 500 0
John J. McCabe April 15, 2009 500 53.00 118.5000 500 0
Edward M. Siskind April 15, 2009 13,217 82.875 120.0000 13,217 0
Edward M. Siskind April 15, 2009 6,304 82.875 120.0000 6,304 0
Andrea A. Vittorelli April 15, 2009 2,652 82.875 120.0000 2,652 0
Andrew F. Wilson April 15, 2009 10,000 53.00 120.0000 10,000 0
Andrew E. Wolff April 15, 2009 2,264 53.00 119.0000 2,264 0
Andrew E. Wolff April 15, 2009 267 78.87 119.0000 267 0
Mitchell J. Lieberman April 17, 2009 5,000 53.00 122.5306 5,000 0
James R. Paradise April 17, 2009 1,000 53.00 120.4800 1,000 0
James R. Paradise April 17, 2009 1,030 53.00 121.1800 1,030 0
James R. Paradise April 17, 2009 2,000 53.00 121.9980 2,000 0
Jean Raby April 17, 2009 2,000 53.00 120.5505 2,000 0
Peter A. Seccia April 17, 2009 135 53.00 120.8300 135 0
Daisuke Toki April 17, 2009 907 53.00 121.1800 907 0
Gwen R. Libstag* April 20, 2009 2,000 53.00 116.9500 0 2,000
Gwen R. Libstag* April 20, 2009 4,000 53.00 116.9500 0 4,000
John J. McCabe April 20, 2009 500 53.00 116.2600 500 0
John J. McCabe April 20, 2009 500 53.00 116.5140 500 0
John J. McCabe April 20, 2009 500 53.00 116.7645 500 0
John J. McCabe April 20, 2009 500 53.00 117.6000 500 0
John J. McCabe April 20, 2009 500 53.00 117.6000 500 0
John J. McCabe April 20, 2009 500 53.00 117.6661 500 0
John J. McCabe April 20, 2009 500 53.00 118.0000 500 0
John J. McCabe April 20, 2009 500 53.00 118.4960 500 0
John J. McCabe April 20, 2009 500 53.00 118.5000 500 0
John J. McCabe April 20, 2009 500 53.00 118.6000 500 0
James R. Paradise April 20, 2009 1,000 53.00 115.7380 1,000 0
Wassim G. Younan April 20, 2009 14,003 53.00 115.8318 14,003 0
Wassim G. Younan April 20, 2009 2,222 53.00 116.0442 2,222 0
</c></table>
-30-
</page><page>
<table>
<caption>
NUMBER STRIKE SALES NUMBER NUMBER
OF PRICE PRICE OF SHARES OF SHARES
COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED
- ------------------------ ------------------ ------- ------ -------- --------- ---------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c> </c><c>
Christopher A. Cole April 21, 2009 2,000 82.875 120.0000 2,000 0
Gwen R. Libstag* April 21, 2009 7,000 53.00 117.2650 0 7,000
John J. McCabe April 21, 2009 500 53.00 116.3300 500 0
John A. Ashdown April 22, 2009 2,500 53.00 122.5396 2,500 0
Paul D. Bernard April 22, 2009 6,534 53.00 123.6292 6,534 0
Robert A. Berry April 22, 2009 17,420 53.00 121.7074 17,420 0
John J. McCabe April 22, 2009 500 53.00 123.1500 500 0
James R. Paradise April 22, 2009 500 53.00 118.3300 500 0
W. Thomas York, Jr. April 22, 2009 2,000 53.00 123.7990 2,000 0
Rumiko Hasegawa April 23, 2009 3,000 53.00 121.9000 3,000 0
James R. Paradise April 23, 2009 500 53.00 121.9000 500 0
Heather K. Shemilt April 23, 2009 1,769 53.00 119.2540 1,769 0
Rumiko Hasegawa April 24, 2009 1,500 53.00 123.5000 1,500 0
Rumiko Hasegawa April 24, 2009 3,000 53.00 123.5000 3,000 0
Rumiko Hasegawa April 27, 2009 2,000 53.00 120.0000 2,000 0
John J. McCabe April 27, 2009 500 53.00 122.0500 500 0
John J. McCabe April 27, 2009 500 53.00 123.2000 500 0
John J. McCabe April 27, 2009 500 53.00 123.9200 500 0
James R. Paradise April 27, 2009 500 53.00 122.9400 500 0
James R. Paradise April 27, 2009 500 53.00 123.7420 500 0
Jean Raby April 27, 2009 1,000 53.00 123.0180 1,000 0
John J. Vaske April 27, 2009 8,610 91.61 122.8247 8,610 0
Rumiko Hasegawa April 28, 2009 2,000 53.00 119.8500 2,000 0
John J. McCabe April 28, 2009 500 53.00 120.5000 500 0
Robert A. Berry April 29, 2009 17,419 53.00 124.0800 17,419 0
Laura C. Conigliaro April 29, 2009 5,000 82.875 126.3274 5,000 0
Joseph H. Gleberman April 29, 2009 20,000 82.875 123.4444 16,606 3,394
Rumiko Hasegawa April 29, 2009 2,000 53.00 122.5000 2,000 0
Rumiko Hasegawa April 29, 2009 3,000 53.00 125.0000 3,000 0
Rumiko Hasegawa April 29, 2009 2,000 53.00 125.0000 2,000 0
John J. McCabe April 29, 2009 500 53.00 125.8000 500 0
Stephen R. Pierce April 29, 2009 11,000 53.00 127.6107 11,000 0
Heather K. Shemilt April 29, 2009 53 53.00 125.8700 53 0
Andrew F. Wilson April 29, 2009 3,530 53.00 126.5000 3,530 0
Andrew F. Wilson April 29, 2009 2,832 53.00 127.0000 2,832 0
W. Thomas York, Jr. April 29, 2009 2,000 53.00 125.0000 2,000 0
Rumiko Hasegawa April 30, 2009 1,500 53.00 128.4700 1,500 0
John J. McCabe April 30, 2009 500 53.00 127.5000 500 0
Jean Raby April 30, 2009 733 53.00 127.8255 733 0
Andrew F. Wilson April 30, 2009 10,000 53.00 129.0000 10,000 0
W. Thomas York, Jr. April 30, 2009 1,000 53.00 127.5480 1,000 0
Rumiko Hasegawa May 1, 2009 713 53.00 128.0200 713 0
Rumiko Hasegawa May 1, 2009 3,000 53.00 130.0000 3,000 0
W. Thomas York, Jr. May 1, 2009 1,000 53.00 129.1500 1,000 0
W. Thomas York, Jr. May 1, 2009 1,000 53.00 130.0000 1,000 0
Steven M. Feldman May 4, 2009 2,000 78.87 129.3500 2,000 0
Joseph H. Gleberman May 4, 2009 15,000 82.875 129.5126 12,388 2,612
John J. McCabe May 4, 2009 500 53.00 128.7000 500 0
</c></table>
-31-
</page><page>
<table>
<caption>
NUMBER STRIKE SALES NUMBER NUMBER
OF PRICE PRICE OF SHARES OF SHARES
COVERED PERSON DATE OF EXERCISE OPTIONS (IN $) (IN $) SOLD RETAINED
- ------------------------ ------------------ ------- ------ -------- --------- ---------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c> </c><c>
John J. McCabe May 4, 2009 500 53.00 130.0800 500 0
W. Thomas York, Jr. May 4, 2009 1,000 53.00 129.1580 1,000 0
</c></table>
* This transaction was a cash-for-stock exercise, not a cashless exercise,
and did not involve the sale of stock.
The following charitable contributions and other transfers of shares in
transactions for which no consideration was received were made by the following
Covered Persons:
<table>
<caption>
ACQUISITION OR
COVERED PERSON TRANSFER DATE NUMBER OF SHARES DISPOSITION
- ------------------------ ----------------- ---------------- --------------
</caption><s> </s><c> </c><c> </c><c>
Jeffrey B. Goldenberg April 20, 2009 800 Disposition
Celeste A. Guth April 20, 2009 425 Disposition
Celeste A. Guth April 20, 2009 2,374 Disposition
Celeste A. Guth April 20, 2009 9,991 Disposition
Ivan Ross April 21, 2009 406 Disposition
Kevin W. Kennedy April 27, 2009 2,000 Disposition
Kevin W. Kennedy April 27, 2009 10,000 Disposition
Stuart N. Bernstein April 30, 2009 100 Disposition
Timothy J. Ingrassia April 30, 2009 785 Disposition
Timothy J. Ingrassia April 30, 2009 785 Disposition
Timothy J. Ingrassia April 30, 2009 1,178 Disposition
Timothy J. Ingrassia April 30, 2009 1,962 Disposition
Timothy M. Kingston April 30, 2009 2,000 Disposition
</c></table>
The Covered Persons listed below participate in the Common Stock fund of The
Goldman Sachs 401(k) Plan. These Covered Persons acquired or disposed of
interests in the Common Stock fund representing the number of Other Shares set
forth below:
<table>
<caption>
ACQUISITION OR PRICE PER
COVERED PERSON DISPOSITION TRANSACTION DATE NUMBER OF SHARES SHARE (IN $)
- ------------------------ -------------- ---------------- ---------------- ------------
</caption><s> </s><c> </c><c> </c><c> </c><c>
Peter K. Tomozawa Acquisition March 13, 2009 1 98.8000
Peter K. Tomozawa Acquisition March 31, 2009 1 106.0200
Peter K. Tomozawa Acquisition April 15, 2009 1 121.1900
Douglas L. Feagin Disposition April 22, 2009 691 120.4900
Peter K. Tomozawa Acquisition April 30, 2009 1 128.5000
</c></table>
-32-
</page><page>
ANNEX F
ITEM 6. DESCRIPTION OF POSITIONS IN DERIVATIVE INSTRUMENTS OF COVERED PERSONS OR
REPORTING ENTITIES.
The following Covered Persons or Reporting Entities have written or purchased
American-style standardized call options or put options on Voting Shares with
the following terms:
<table>
<caption>
INSTRUMENT NUMBER OF STRIKE PRICE
COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE
- -------------------------- -------------- --------- ------------ ------------------ -----------------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c>
Gary T. Giglio Put Written 4,000 80 October 10, 2008 January 16, 2010
Laura C. Conigliaro Call Written 5,000 100 January 16, 2009 January 16, 2010
David J. Greenwald Call Written 1,000 90 January 16, 2009 January 16, 2010
David H. Voon Call Written 5,000 75 January 21, 2009 July 18, 2009
David H. Voon Call Written 200 95 January 21, 2009 July 18, 2009
Michael J. Millette Call Written 2,400 90 January 26, 2009 July 18, 2009
Kenneth A. Pontarelli Call Written 5,000 125 January 27, 2009 January 16, 2010
Robert J. Sweeney Call Written 3,000 95 January 27, 2009 July 18, 2009
Peter C. Aberg Call Written 1,000 125 January 28, 2009 January 16, 2010
Peter C. Aberg Call Written 1,000 150 January 28, 2009 January 22, 2011
Peter C. Aberg Call Written 1,000 160 January 28, 2009 January 22, 2011
Kevin S. Gasvoda Call Written 3,000 100 January 28, 2009 July 18, 2009
Michael E. Koester Call Written 2,000 90 January 28, 2009 July 18, 2009
Richard M. Ruzika Call Written 30,000 100 January 28, 2009 July 18, 2009
Jeffrey M. Tomasi Call Written 2,000 90 January 28, 2009 July 18, 2009
Theodore T. Wang Call Written 10,000 90 January 28, 2009 July 18, 2009
Susan A. Willetts Call Written 5,000 100 January 28, 2009 July 18, 2009
Kevin S. Gasvoda Call Written 1,500 105 January 29, 2009 July 18, 2009
Peter C. Aberg Call Written 12,000 130 February 2, 2009 January 22, 2011
Peter C. Aberg Call Written 8,000 140 February 2, 2009 January 22, 2011
Richard A. Kimball, Jr. Call Written 12,000 95 February 2, 2009 July 18, 2009
Larry M. Kellerman Call Written 4,000 110 February 4, 2009 July 18, 2009
Larry M. Kellerman Call Written 2,000 115 February 4, 2009 July 18, 2009
Michael Rimland Call Written 10,000 105 February 4, 2009 July 18, 2009
John S. Daly Call Written 10,000 135 February 5, 2009 January 16, 2010
Kevin S. Gasvoda Call Written 1,000 115 February 5, 2009 July 18, 2009
Edward G. Hadden Call Written 2,800 150 February 5, 2009 July 18, 2009
Christopher A. Cole Call Written 10,000 120 February 6, 2009 July 18, 2009
Todd G. Owens Call Written 1,000 120 February 6, 2009 July 18, 2009
Michael J. Swenson Call Written 5,000 105 February 6, 2009 July 18, 2009
Milton R. Berlinski Put Written 72,600 60 February 9, 2009 July 18, 2009
Milton R. Berlinski Call Written 72,600 110 February 9, 2009 July 18, 2009
Jack Levy Call Written 25,000 115 February 9, 2009 January 16, 2010
Jack Levy Call Written 75,000 130 February 9, 2009 January 16, 2010
Thomas J. Kenny Call Written 7,600 90 February 12, 2009 January 16, 2010
Joseph Ravitch Call Written 13,200 95 February 13, 2009 July 18, 2009
Ivan Ross Call Written 1,500 110 February 13, 2009 July 18, 2009
Ivan Ross Call Written 500 115 February 13, 2009 July 18, 2009
John E. Waldron Call Written 3,300 115 February 13, 2009 July 18, 2009
John E. Waldron Call Written 3,300 120 February 13, 2009 July 18, 2009
John E. Waldron Call Written 3,400 125 February 13, 2009 July 18, 2009
Milton R. Berlinski Put Written 70,000 50 February 18, 2009 July 18, 2009
David J. Greenwald Call Written 2,000 90 February 19, 2009 July 18, 2009
</c></table>
-33-
</page><page>
<table>
<caption>
INSTRUMENT NUMBER OF STRIKE PRICE
COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE
- -------------------------- -------------- --------- ------------ ------------------ -----------------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c>
David J. Greenwald Call Written 4,000 100 February 19, 2009 January 16, 2010
Peter Gross Call Written 19,400 125 February 20, 2009 July 18, 2009
David H. Voon Call Written 5,000 85 February 20, 2009 January 16, 2010
David H. Voon Call Written 2,500 70 February 23, 2009 July 18, 2009
Dean C. Backer Call Written 10,000 130 April 15, 2009 July 18, 2009
Colin J. Corgan Call Written 26,000 140 April 15, 2009 May 16, 2009
Jean A. De Pourtales Call Written 15,200 140 April 15, 2009 October 17, 2009
Mark F Dehnert Call Written 18,500 125 April 15, 2009 May 16, 2009
Mark F Dehnert * Call Written 3,900 125 April 15, 2009 May 16, 2009
Justin G. Gmelich Call Written 10,000 140 April 15, 2009 July 18, 2009
Todd G. Owens Call Written 1,000 150 April 15, 2009 October 17, 2009
Richard M. Ruzika Call Written 20,000 140 April 15, 2009 July 18, 2009
Alejandro Vollbrechthausen Put Written 1,000 95 April 15, 2009 May 16, 2009
Paolo Zannoni Call Written 14,800 145 April 15, 2009 October 17, 2009
Paolo Zannoni Call Written 11,200 145 April 15, 2009 October 17, 2009
Kathleen G. Elsesser Call Written 4,500 125 April 16, 2009 July 18, 2009
Diego De Giorgi Call Written 6,800 145 April 16, 2009 July 18, 2009
Jeffrey B. Goldenberg Call Written 10,000 110 April 16, 2009 May 16, 2009
David J. Greenwald Call Written 1,000 120 April 16, 2009 July 18, 2009
Maykin Ho Call Written 7,500 125 April 16, 2009 July 18, 2009
George N. Mattson Call Written 10,000 140 April 16, 2009 July 18, 2009
Marc O. Nachmann * Call Written 1,500 120 April 16, 2009 May 16, 2009
Marc O. Nachmann * Call Written 500 130 April 16, 2009 May 16, 2009
Jean Raby Call Written 2,000 100 April 16, 2009 July 18, 2009
Peter K. Tomozawa Call Written 2,000 125 April 16, 2009 May 16, 2009
Andrea A. Vittorelli Call Written 2,100 120 April 16, 2009 July 18, 2009
Matthew C. Westerman Call Written 20,000 145 April 16, 2009 July 18, 2009
Larry M. Kellerman Call Written 3,900 140 April 17, 2009 October 17, 2009
Jeffrey M. Moslow Call Written 5,000 130 April 17, 2009 July 18, 2009
Jeffrey M. Moslow Call Written 5,000 145 April 17, 2009 July 18, 2009
Milton R. Berlinski Put Written 50,000 105 April 20, 2009 January 16, 2010
Milton R. Berlinski Call Purchased 50,000 120 April 20, 2009 January 16, 2010
Milton R. Berlinski Call Written 50,000 190 April 20, 2009 January 16, 2010
Edward G. Hadden Call Written 4,500 125 April 20, 2009 October 17, 2009
Simon I. Mansfield Call Written 15,800 130 April 20, 2009 July 18, 2009
Enrico S. Gaglioti Call Written 10,000 120 April 21, 2009 July 18, 2009
Michael J. Graziano Call Written 4,000 150 April 21, 2009 January 16, 2010
Kenneth A. Pontarelli Call Written 2,500 140 April 21, 2009 October 17, 2009
David J. Greenwald Call Written 2,000 130 April 22, 2009 October 17, 2009
Charlotte P. Ransom Call Written 4,000 150 April 22, 2009 October 17, 2009
Peter K. Tomozawa Call Written 2,000 125 April 22, 2009 June 20, 2009
C. Howard Wietschner Call Written 800 100 April 22, 2009 June 20, 2009
Larry M. Kellerman Call Written 9,000 120 April 23, 2009 July 18, 2009
Larry M. Kellerman Call Written 5,000 140 April 23, 2009 January 16, 2010
Larry M. Kellerman Call Written 2,200 140 April 23, 2009 October 17, 2009
Larry M. Kellerman Call Written 10,000 150 April 23, 2009 October 17, 2009
Peter A. Seccia Call Written 5,000 130 April 24, 2009 June 20, 2009
Steve M. Scopellite Call Written 5,000 130 April 24, 2009 June 20, 2009
W. Thomas York, Jr. Call Written 1,000 125 April 24, 2009 July 18, 2009
W. Thomas York, Jr. Call Written 1,000 130 April 24, 2009 July 18, 2009
Diego De Giorgi Call Written 5,000 145 April 29, 2009 July 18, 2009
</c></table>
-34-
</page><page>
<table>
<caption>
INSTRUMENT NUMBER OF STRIKE PRICE
COVERED PERSON AND POSITION SHARES (IN $) TRANSACTION DATE MATURITY DATE
- -------------------------- -------------- --------- ------------ ------------------ -----------------
</caption><s> </s><c> </c><c> </c><c> </c><c> </c><c>
Anahue Limited Call Written 11,500 150 April 30, 2009 January 16, 2010
Craig W. Broderick * Call Written 10,000 140 April 30, 2009 July 18, 2009
Andrew A. Chisholm Call Written 20,000 140 April 30, 2009 January 16, 2010
Andrew A. Chisholm Call Written 8,500 150 April 30, 2009 January 16, 2010
Ivan Ross Call Written 600 130 April 30, 2009 January 16, 2010
Ivan Ross Call Written 600 135 April 30, 2009 January 16, 2010
Martin M. Werner Call Written 10,000 150 April 30, 2009 July 18, 2009
Yoel Zaoui Call Written 9,500 150 April 30, 2009 October 17, 2009
Jeffrey M. Moslow Call Written 5,000 135 May 1, 2009 July 18, 2009
Michael J. Graziano Call Written 4,000 165 May 4, 2009 January 16, 2010
Jeffrey A. Resnick Call Written 5,000 135 May 4, 2009 July 18, 2009
Ivan Ross Call Written 400 140 May 4, 2009 January 16, 2010
</c></table>
* This transaction was conducted through an estate planning entity and
relates to Other Shares.
-35-
</page><page>
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 13, 2009
By: /s/ Beverly L. O'Toole
------------------------------------
Name: Beverly L. O'Toole
Title: Attorney-in-Fact
-36-
</page><page>
EXHIBIT INDEX
<table>
<caption>
Exhibit Description
- ------- ----------------------------------------------------------------------
</caption><s> </s><c>
A. 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)).
B. 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)).
C. 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)).
D. 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)).
E. 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)).
F. 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)).
G. 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)).
H. 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)).
I. 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)).
J. 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.).
K. 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.).
L. 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)).
M. 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.).
N. Amended and Restated Shareholders' Agreement, effective as of the
close of business on June 22, 2004 (incorporated by reference to
Exhibit M to Amendment No. 54 to the Initial Schedule 13D, filed June
22, 2004 (File No. 005-56295)).
O. Form of Letter Agreement, dated September 28, 2008, between certain
Covered Persons and The Goldman Sachs Group, Inc. (incorporated by
reference to Exhibit O to Amendment No. 71 to the Initial Schedule
13D, filed October 1, 2008 (File No. 005-56295)).
</c></table>
</page></text>
</description></document>
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