UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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(f) of the Investment Company Act of 1940
================================================================================
1. Name and Address of Reporting Person*
George William W.
--------------------------------------------------------------------------------
(Last) (First) (Middle)
c/o Goldman, Sachs & Co.
85 Broad Street
--------------------------------------------------------------------------------
(Street)
New York, New York 10004
--------------------------------------------------------------------------------
(City) (State) (Zip)
================================================================================
2. Date of Event Requiring Statement (Month/Day/Year)
December 18, 2002
================================================================================
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
================================================================================
4. Issuer Name and Ticker or Trading Symbol
The Goldman Sachs Group, Inc.
(GS)
================================================================================
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
[ X ] Director [ ] 10% Owner
[ ] Officer (give title below) [ ] Other (specify below)
--------------------------------------------------------------------
================================================================================
6. If Amendment, Date of Original (Month/Year)
================================================================================
7. Individual or Joint/Group Filing (Check applicable line)
[ X ] Form Filed by One Reporting Person
[ ] Form Filed by More than One Reporting Person
================================================================================
====================================================================================================================================
Table I -- Non-Derivative Securities Beneficially Owned |
====================================================================================================================================
| | | |
| | | |
| | 3. Ownership Form: | |
| 2. Amount of Securities | Direct (D) or | |
1. Title of Security | Beneficially Owned | Indirect (I) | 4. Nature of Indirect Beneficial Ownership |
(Instr. 4) | (Instr. 4) | (Instr. 5) | (Instr.5) |
------------------------------------------------------------------------------------------------------------------------------------
| | | |
| | | |
====================================================================================================================================
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
5(b)(v).
FORM 3 (continued)
====================================================================================================================================
Table II -- Derivative Securities Beneficially Owned |
(e.g., puts, calls, warrants, options, convertible securities) |
====================================================================================================================================
| | | | | |
| | | | 5. Owner- | |
| | 3. Title and Amount of Securities | | ship | |
| | Underlying Derivative Security | | Form of | |
|2. Date Exercisable | (Instr. 4) | | Derivative | |
| and Expiration Date | --------------------------------- | 4. Conver- | Security: | |
| (Month/Day/Year) | | Amount | sion or | Direct |6.Nature of |
|---------------------- | | or | Exercise | (D) or | Indirect |
|Date |Expira- | | Number | Price of | Indirect | Beneficial|
1. Title of Derivative |Exer- |tion | | of | Derivative| (I) | Ownership |
Security (Instr. 4) |cisable |Date | Title | Shares | Security | (Instr.5) | (Instr. 5)|
------------------------------------------------------------------------------------------------------------------------------------
| | | | | | | |
| | | | | | | |
====================================================================================================================================
By: /s/ Edward T. Joel December 30, 2002
--------------------------------------------- -----------------------
**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 procedure.
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.
POWER OF ATTORNEY
The undersigned does hereby appoint Roger S. Begelman, Edward T. Joel,
Saskia Brookfield Martin and Susan P. Goddard (and any other employee of The
Goldman Sachs Group, Inc. or one of its affiliates designated in writing by one
of the attorneys-in-fact) his lawful attorneys, and each of them his true and
lawful attorney, with power to act without the other, and with full power of
substitution and resubstitution, to execute for him and in his name the Initial
Statement of Beneficial Ownership on Form 3, any Statement of Changes in
Beneficial Ownership on Form 4 and any Annual Statement of Changes in Beneficial
Ownership on Form 5, or any similar or successor form, which may be required to
be filed by him with the Securities and Exchange Commission pursuant to Section
16 of the Securities Exchange Act of 1934, as amended and any and all
instruments necessary or incidental therewith, hereby granting unto said
attorneys and each of them full power and authority to do and perform in the
name and on behalf of the undersigned, and in any and all capacities, every act
and thing whatsoever required or necessary to be done in and about the premises,
as fully and to all intents and purposes as the undersigned might or could do in
person, hereby ratifying and approving the act of said attorneys and each of
them.
This power of attorney shall not be affected by the subsequent disability
or incompetence of the principal. This power of attorney shall remain in full
force and effect until either revoked in writing by the undersigned or until
such time as the person or persons to whom power of attorney has been hereby
granted cease(s) to be an employee of The Goldman Sachs Group, Inc. or one of
its affiliates.
IN WITNESS thereof the undersigned hereunto signed his name this 19th day
of December, 2002.
By: /s/ William W. George
----------------------------
Name: William W. George