GS

SEC source: 0000769993-13-000250 · ownershipdoc02122013052757.xml · nonDerivative · entry 2

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 124,620

F1 · price: Reflects a weighted average sale price of $152.0262 per share, at prices ranging from $151.8600 to $152.1700 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Held by spouse.

SEC source: 0000769993-13-000250 · ownershipdoc02122013052757.xml · nonDerivative · entry 1

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,048

F1 · price: Reflects a weighted average sale price of $152.0262 per share, at prices ranging from $151.8600 to $152.1700 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000769993-13-000122 · ownershipdoc02072013101002.xml · nonDerivative · entry 1

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,649

SEC source: 0000769993-13-000098 · ownershipdoc01222013033558.xml · derivative · entry 5

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 39,946 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 24, 2013, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On January 24, 2013, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On January 24, 2013, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On January 24, 2013, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-13-000098 · ownershipdoc01222013033558.xml · nonDerivative · entry 2

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,504

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-13-000098 · ownershipdoc01222013033558.xml · nonDerivative · entry 1

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,277

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 24, 2013, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-13-000068 · ownershipdoc01072013114340.xml · derivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,208

Underlying: Common Stock, par value $0.01 per share · 75,208 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000069 · ownershipdoc01072013114340.xml · derivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,136

Underlying: Common Stock, par value $0.01 per share · 85,136 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000070 · ownershipdoc01072013114340.xml · derivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,594

Underlying: Common Stock, par value $0.01 per share · 36,594 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000071 · ownershipdoc01072013114340.xml · derivative · entry 1

SHERWOOD MICHAEL S · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,461

Underlying: Common Stock, par value $0.01 per share · 109,461 shares

Expires not disclosed

F1 · derivative.exercise_price: Approximately 67% of the shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement; the shares of common stock delivered pursuant to such RSUs generally cannot be sold or transferred before January 2018. The remainder of the shares of the Issuer's common stock underlying these RSUS will be delivered in July 2013, subject to other terms and conditions of the award agreement.

F1 · derivative.exercise_date: Approximately 67% of the shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement; the shares of common stock delivered pursuant to such RSUs generally cannot be sold or transferred before January 2018. The remainder of the shares of the Issuer's common stock underlying these RSUS will be delivered in July 2013, subject to other terms and conditions of the award agreement.

F1 · derivative.expiration_date: Approximately 67% of the shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement; the shares of common stock delivered pursuant to such RSUs generally cannot be sold or transferred before January 2018. The remainder of the shares of the Issuer's common stock underlying these RSUS will be delivered in July 2013, subject to other terms and conditions of the award agreement.

SEC source: 0000769993-13-000072 · ownershipdoc01072013114340.xml · derivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,509

Underlying: Common Stock, par value $0.01 per share · 28,509 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000073 · ownershipdoc01072013114340.xml · derivative · entry 1

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,998

Underlying: Common Stock, par value $0.01 per share · 29,998 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000074 · ownershipdoc01072013114340.xml · derivative · entry 1

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,208

Underlying: Common Stock, par value $0.01 per share · 75,208 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000075 · ownershipdoc01072013114340.xml · derivative · entry 1

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,382

Underlying: Common Stock, par value $0.01 per share · 26,382 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000076 · ownershipdoc01072013114340.xml · derivative · entry 1

COHN GARY D · CIK 0001366945 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,136

Underlying: Common Stock, par value $0.01 per share · 85,136 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000077 · ownershipdoc01072013114340.xml · derivative · entry 1

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,254

Underlying: Common Stock, par value $0.01 per share · 24,254 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000078 · ownershipdoc01072013114340.xml · derivative · entry 1

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,320

Underlying: Common Stock, par value $0.01 per share · 94,320 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000079 · ownershipdoc01072013114340.xml · derivative · entry 1

Schwartz Mark · CIK 0001362576 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,428

Underlying: Common Stock, par value $0.01 per share · 37,428 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2012 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2018.

SEC source: 0000769993-13-000080 · ownershipdoc01072013114340.xml · derivative · entry 1

Spar Debora L · CIK 0001523191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,845

Underlying: Common Stock, par value $0.01 per share · 3,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000081 · ownershipdoc01072013114340.xml · derivative · entry 1

SCHIRO JAMES J · CIK 0001217164 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,221

Underlying: Common Stock, par value $0.01 per share · 3,829 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000082 · ownershipdoc01072013114340.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,073

Underlying: Common Stock, par value $0.01 per share · 3,532 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000083 · ownershipdoc01072013114340.xml · derivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,738

Underlying: Common Stock, par value $0.01 per share · 3,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000084 · ownershipdoc01072013114340.xml · derivative · entry 1

GEORGE WILLIAM W · CIK 0001145149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,574

Underlying: Common Stock, par value $0.01 per share · 3,015 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000085 · ownershipdoc01072013114340.xml · derivative · entry 1

FRIEDMAN STEPHEN · CIK 0001029607 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,779

Underlying: Common Stock, par value $0.01 per share · 3,710 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000086 · ownershipdoc01072013114340.xml · derivative · entry 1

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,965

Underlying: Common Stock, par value $0.01 per share · 3,532 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000087 · ownershipdoc01072013114340.xml · derivative · entry 1

BURNS M MICHELE · CIK 0001197664 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,442

Underlying: Common Stock, par value $0.01 per share · 3,651 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000088 · ownershipdoc01072013114340.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883

Underlying: Common Stock, par value $0.01 per share · 883 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-13-000089 · ownershipdoc01072013114340.xml · derivative · entry 1

Tucker Mark · CIK 0001498305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 589

Underlying: Common Stock, par value $0.01 per share · 589 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered on the first eligible trading day in the third quarter in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-12-000665 · ownershipdoc12182012104935.xml · derivative · entry 4

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000665 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,819,128

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000665 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,852,373

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000666 · ownershipdoc12182012104935.xml · derivative · entry 5

COHN GARY D · CIK 0001366945 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000666 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

COHN GARY D · CIK 0001366945 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616,404

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000666 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

COHN GARY D · CIK 0001366945 · Director · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 649,649

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000667 · ownershipdoc12182012104935.xml · derivative · entry 5

VINIAR DAVID A · CIK 0001090352 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000667 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

VINIAR DAVID A · CIK 0001090352 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 702,419

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000667 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Executive Vice President - CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,664

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000668 · ownershipdoc12182012104935.xml · derivative · entry 6

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000668 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 805,790

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000668 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 836,228

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000669 · ownershipdoc12182012104935.xml · derivative · entry 3

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 66,065 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000669 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 649,453

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000669 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 679,349

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000670 · ownershipdoc12182012104935.xml · derivative · entry 4

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 41,876 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000670 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,799

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000670 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,093

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000671 · ownershipdoc12182012104935.xml · derivative · entry 4

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 23,832 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000671 · ownershipdoc12182012104935.xml · nonDerivative · entry 2

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,490

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0000769993-12-000671 · ownershipdoc12182012104935.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,484

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

SEC source: 0000769993-12-000672 · ownershipdoc12182012104935.xml · derivative · entry 4

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 45,126 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · price: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.exercise_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.

F1 · derivative.expiration_date: On December 31, 2012, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2012 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2012 compensation.