UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(h) of the Investment Company Act of 1940
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Kaplan, Robert S.
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(Last) (First) (Middle)
c/o Goldman, Sachs & Co.
85 Broad Street
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(Street)
New York, New York 10004
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
The Goldman Sachs Group, Inc.
(GS)
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3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
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4. Statement for Month/Day/Year
December 13, 2002
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5. If Amendment, Date of Original (Month/Day/Year)
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6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
[ ] Director [ ] 10% Owner
[ X ] Officer (give title below) [ ] Other (specify below)
Vice Chairman of the Corporation
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7. Individual or Joint/Group Filing (Check Applicable Line)
[ X ] Form filed by One Reporting Person
[ ] Form filed by More than One Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of, |
or Beneficially Owned |
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| | | | |5. |6. | |
| | | | 4. |Amount of |Owner- | |
| | | | Securities Acquired (A) or |Securities |ship | |
| |2A. |3. | Disposed of (D) |Beneficially |Form: |7. |
|2. |Deemed |Transaction| (Instr. 3, 4 and 5) |Owned |Direct |Nature of |
|Transaction |Execution |Code | -------------------------------|Following |(D) or |Indirect |
1. |Date |Date, if |(Instr. 8) | | (A) | |Reported |Indirect |Beneficial|
Title of Security |(Month/Day/ |any(Month/|-----------| Amount | or | Price |Transactions |(I) |Ownership |
(Instr. 3) |Year) |Day/Year) | Code | V | | (D) | |(Instr. 3 & 4)|(Instr.4)|(Instr. 4)|
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| | | | | | | | | | |
| | | | | | | | | | |
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Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction
4(b)(v).
FORM 4 (continued)
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Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned |
(e.g., puts, calls, warrants, options, convertible securities) |
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| | | | | | | | |9. |10. | |
|2. | | | | | | | |Number |Owner-| |
|Con- | | | | | | | |of |ship | |
|ver- | |3A. | | | | | |Deriv- |of | |
|sion | |De- | |5. | |7. | |ative |Deriv-|11. |
|or | |emed| |Number of | |Title and Amount | |Secur- |ative |Nature|
|Exer- | |Exe-| |Derivative |6. |of Underlying |8. |ities |Secur-|of |
|cise | |cu- |4. |Securities |Date |Securities |Price |Bene- |ity: |In- |
|Price |3. |tion|Trans-|Acquired (A)|Exercisable and |(Instr. 3 and 4) |of |ficially |Direct|direct|
|of |Trans- |Date|action|or Disposed |Expiration Date |-----------------------|Deriv- |Owned |(D) or|Bene- |
1. |Der- |action |if |Code |of (D) |(Month/Day/Year) | |Amount |ative |Following|In- |ficial|
Title of |iva- |Date |any,|(Instr|(Instr. 3, |-----------------| |or |Secur- |Reported |direct|Owner-|
Derivative |tive |(Month/ |(MM/|8) |4 and 5) |Date |Expira- | |Number |ity |Trans- |(I) |ship |
Security |Secu- |Day/ |DD/ |------|------------|Exer- |tion | |of |(Instr. |action(s)|(Instr|(Instr|
(Instr. 3) |rity |Year) |YY) |Code|V| (A) | (D) |cisable |Date |Title |Shares |5) |(Instr.4)|4) |4) |
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Restricted | | | | | | | | | | | | | | | |
Stock Units | (1) |12/13/02| | A | |18,527| | (1) | (1) | Common Stock| 18,527 | | 18,527 | D | |
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Nonqualified | | | | | | | | | | | | | | | |
Stock options | | | | | | | | | | | | | | | |
(right to buy) |$78.87|12/13/02| | A | |55,581| | (2) |11/30/12| Common Stock| 55,581 | | 55,581 | D | |
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Explanation of Responses:
(1): These Restricted Stock Units vested 25% immediately upon grant, with the
remaining 75% vesting on November 25, 2005, and the shares of Common Stock
underlying these Restricted Stock Units will generally be deliverable, without
the payment of any consideration, in January 2006.
(2): These Stock Options vested 25% immediately upon grant, with the remaining
75% vesting on November 25, 2005. These Stock Options become exercisable in
January 2006 and expire on November 30, 2012.
By: /s/ Roger S. Begelman December 17, 2002
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**Signature of Reporting Person Date
Attorney-in-fact
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedures.
Alternatively, this Form is permitted to be submitted to the
Commission in electronic format at the option of the reporting person
pursuant to Rule 101(b)(4) of Regulation S-T.