GS

SEC source: 0000769993-08-001141 · johnsoneep_ex.xml · derivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,585

Underlying: Common Stock · 2,721 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-08-001143 · julibereep_ex.xml · derivative · entry 1

JULIBER LOIS D · CIK 0001127294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,534

Underlying: Common Stock · 3,853 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-08-001145 · mittaleep_ex.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,927

Underlying: Common Stock · 1,927 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-08-001147 · simmonseep_ex.xml · derivative · entry 1

SIMMONS RUTH J · CIK 0001174484 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,899

Underlying: Common Stock · 3,853 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: These Restricted Stock Units will convert into shares of the Issuer's Common Stock on the last business day in May in the year following the year of the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-08-001149 · coheneep_ex.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,364

Underlying: Common Stock · 55,364 shares

Expires 2018-12-31

F2 · shares: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

F2 · derivative.exercise_date: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

SEC source: 0000769993-08-001149 · coheneep_ex.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,453

Underlying: Common Stock · 7,453 shares

Expires not disclosed

F1 · derivative.exercise_price: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 1,539 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.exercise_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 1,539 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.expiration_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 1,539 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

SEC source: 0000769993-08-001151 · palmeep_ex.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,868

Underlying: Common Stock · 104,868 shares

Expires 2018-12-31

F2 · shares: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

F2 · derivative.exercise_date: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

SEC source: 0000769993-08-001151 · palmeep_ex.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,117

Underlying: Common Stock · 14,117 shares

Expires not disclosed

F1 · derivative.exercise_price: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.exercise_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.expiration_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

SEC source: 0000769993-08-001153 · smitheep_ex.xml · derivative · entry 2

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,868

Underlying: Common Stock · 104,868 shares

Expires 2018-12-31

F2 · shares: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

F2 · derivative.exercise_date: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

SEC source: 0000769993-08-001153 · smitheep_ex.xml · derivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,117

Underlying: Common Stock · 14,117 shares

Expires not disclosed

F1 · derivative.exercise_price: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.exercise_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.expiration_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

SEC source: 0000769993-08-001155 · stechereep_ex.xml · derivative · entry 2

STECHER ESTA E · CIK 0001180591 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,868

Underlying: Common Stock · 104,868 shares

Expires 2018-12-31

F2 · shares: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

F2 · derivative.exercise_date: One-third of these Stock Options become exercisable in each of January 2010, January 2011 and January 2012; if the Stock Options are exercised, the underlying shares of Common Stock cannot be transferred before January 2014.

SEC source: 0000769993-08-001155 · stechereep_ex.xml · derivative · entry 1

STECHER ESTA E · CIK 0001180591 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,117

Underlying: Common Stock · 14,117 shares

Expires not disclosed

F1 · derivative.exercise_price: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.exercise_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

F1 · derivative.expiration_date: One-third of these year-end Restricted Stock Units ("RSUs") will convert into shares of the Issuer's Common Stock in each of January 2010, January 2011 and January 2012. 2,871 of the shares of Common Stock underlying these RSUs cannot be transferred before January 2014.

SEC source: 0000769993-08-000751 · winkelriedeep_ex.xml · nonDerivative · entry 2

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 729,944

F2 · shares: Reflects the sale of 12,448 shares of the Issuer's common stock by the Reporting Person at an average weighted sale price of $180.0003 per share, at prices ranging from $180.00 to $180.05 per share.

F3 · shares: 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 · price: Reflects the sale of 12,448 shares of the Issuer's common stock by the Reporting Person at an average weighted sale price of $180.0003 per share, at prices ranging from $180.00 to $180.05 per share.

F3 · price: 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: 0000769993-08-000751 · winkelriedeep_ex.xml · nonDerivative · entry 1

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 742,392

F1 · shares: Reflects the sale of 17,149 shares of the Issuer's common stock by the Reporting Person at an average weighted sale price of $171.8351 per share, at prices ranging from $171.29 to $172.18 per share.

F3 · shares: 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.

F1 · price: Reflects the sale of 17,149 shares of the Issuer's common stock by the Reporting Person at an average weighted sale price of $171.8351 per share, at prices ranging from $171.29 to $172.18 per share.

F3 · price: 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: 0000769993-08-000724 · winkelriedeep_ex.xml · nonDerivative · entry 1

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 759,541

F1 · kind: Reflects the distribution of 3,713 shares of the Issuer's common stock to the Reporting Person from a partnership, the sole partners of which are the Reporting Person, as the general partner, and a trust, as the limited partner; the sole trustee of the trust is the Reporting Person's spouse and the sole beneficiaries of the trust are immediate family members of the Reporting Person. This transaction was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.

F1 · acquired: Reflects the distribution of 3,713 shares of the Issuer's common stock to the Reporting Person from a partnership, the sole partners of which are the Reporting Person, as the general partner, and a trust, as the limited partner; the sole trustee of the trust is the Reporting Person's spouse and the sole beneficiaries of the trust are immediate family members of the Reporting Person. This transaction was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.

SEC source: 0000769993-08-000722 · evanseep_ex.xml · nonDerivative · entry 2

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F2 · kind: Reflects a gift of 6,699 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. This grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · acquired: Reflects a gift of 6,699 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. This grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · ownership.nature: Reflects a gift of 6,699 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. This grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

SEC source: 0000769993-08-000722 · evanseep_ex.xml · nonDerivative · entry 1

EVANS J. MICHAEL · CIK 0001428339 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,098

F1 · kind: Reflects the distribution of 10,422 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). This grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F1 · acquired: Reflects the distribution of 10,422 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). This grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

SEC source: 0000769993-08-000716 · palmeep_ex.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F2 · kind: Reflects a gift of 47,706 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · acquired: Reflects a gift of 47,706 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · ownership.nature: Reflects a gift of 47,706 shares of the Issuer's common stock from a grantor retained annuity trust. This distribution was exempt from Section 16(b) of the Act pursuant to Rule 16b-5 under the Act. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

SEC source: 0000769993-08-000720 · coheneep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,586

SEC source: 0000769993-08-000716 · palmeep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 910,357

F1 · kind: Reflects the distribution of 92,587 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act").

F1 · acquired: Reflects the distribution of 92,587 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act").

SEC source: 0000769993-08-000713 · blankfeineep_ex.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 309,852

F2 · kind: Reflects the distribution of 47,443 shares of the Issuer's common stock from a grantor retained annuity trust to a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. The Reporting Person disclaims beneficial ownership of these shares. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · acquired: Reflects the distribution of 47,443 shares of the Issuer's common stock from a grantor retained annuity trust to a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. The Reporting Person disclaims beneficial ownership of these shares. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F2 · ownership.nature: Reflects the distribution of 47,443 shares of the Issuer's common stock from a grantor retained annuity trust to a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Act. The Reporting Person disclaims beneficial ownership of these shares. The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

SEC source: 0000769993-08-000713 · blankfeineep_ex.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: 1,642,255

F1 · kind: Reflects the distribution of 85,675 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

F1 · acquired: Reflects the distribution of 85,675 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended (the "Act"). The grantor retained annuity trust is no longer a beneficial owner of the Issuer's common stock.

SEC source: 0000769993-08-000636 · winkelriedeep_ex.xml · nonDerivative · entry 1

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 755,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 25

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 765,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 24

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,428

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 23

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,328

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 22

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 769,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 21

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,528

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 20

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 19

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 770,928

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 18

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 771,728

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 17

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,128

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 16

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,328

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 15

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,528

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 14

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,628

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 13

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,728

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 12

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 772,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 11

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 773,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 10

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 774,828

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 9

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,028

SEC source: 0000769993-08-000634 · winkelriedeep_ex.xml · nonDerivative · entry 8

WINKELRIED JON · CIK 0001366946 · Director · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 775,428

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 10

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 9

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,300

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 8

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,900

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 7

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,900

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 6

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,800

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 5

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,100

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 4

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,200

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 3

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,300

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.

SEC source: 0000769993-08-000630 · sherwoodeep_ex.xml · nonDerivative · entry 2

SHERWOOD MICHAEL S. · CIK 0001428340 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 6,700

F1 · ownership.nature: Held through a trust, the sole trustees of which are the Reporting Person and his spouse and the sole beneficiaries of which are the Reporting Person and his immediate family members.