GS

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,069

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,169

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,569

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,469

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,269

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,669

SEC source: 0000769993-07-000033 · stechereep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,044

F1 · price: On January 4, 2007, 33,170 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000034 · viniareep_ex.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 · 54,347 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 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · price: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.exercise_date: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.expiration_date: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000034 · viniareep_ex.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 866,001

SEC source: 0000769993-07-000034 · viniareep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 888,498

F1 · price: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000035 · weinbergeep_ex.xml · derivative · entry 4

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 54,347 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 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · price: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.exercise_date: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.expiration_date: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000035 · weinbergeep_ex.xml · nonDerivative · entry 2

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,689

SEC source: 0000769993-07-000035 · weinbergeep_ex.xml · nonDerivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 893,705

F1 · price: On January 4, 2007, 54,347 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000036 · winkelriedeep_ex.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 88,761 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 4, 2007, 88,761 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · price: On January 4, 2007, 88,761 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.exercise_date: On January 4, 2007, 88,761 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

F1 · derivative.expiration_date: On January 4, 2007, 88,761 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000036 · 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: 791,740

SEC source: 0000769993-07-000036 · 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: 828,352

F1 · price: On January 4, 2007, 88,761 shares of the Issuer's common stock underlying these Restricted Stock Units became deliverable, without the payment of any consideration, and were delivered to the Reporting Person.

SEC source: 0000769993-07-000010 · smitheep_ex.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 598

SEC source: 0000769993-06-000991 · norajohnsoneep1_ex.xml · nonDerivative · entry 1

NORA JOHNSON SUZANNE M · CIK 0001310264 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 313,369

F1 · ownership.nature: As trustee of revocable trust.

SEC source: 0000769993-06-000995 · viniareep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 834,151

SEC source: 0000769993-06-000993 · stechereep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,874

SEC source: 0000769993-06-000989 · cohneep_ex.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,640

SEC source: 0000769993-06-000985 · smitheep_ex.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,932

SEC source: 0000769993-06-000987 · 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: 739,591

SEC source: 0000769993-06-000971 · kennedyeep1_ex.xml · nonDerivative · entry 1

KENNEDY KEVIN W · CIK 0001180588 · Exec. VP - Human Capital Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,814

SEC source: 0000769993-06-000945 · 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: 1,274,132

F1 · kind: Reflects the distribution of 62,085 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person on December 18, 2006. This distribution 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 62,085 shares of the Issuer's common stock from a grantor retained annuity trust to the Reporting Person on December 18, 2006. This distribution was exempt from Section 16 pursuant to Rule 16a-13 under the Securities Exchange Act of 1934, as amended.

SEC source: 0000769993-06-000945 · blankfeineep_ex.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,228

Underlying: Common Stock · 209,228 shares

Expires 2016-11-25

F6 · shares: The number of Stock Options awarded to the Reporting Person was determined by dividing the dollar amount to be granted as options ($10,453,000) by the value of each Stock Option based on a binomial option valuation method, which was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011. The Reporting Person earned a cash bonus of $27,267,500 in addition to the equity grants being described in this filing for a total bonus of $53,400,000 for fiscal 2006. The Reporting Person was the highest paid executive officer of the Issuer for the Issuer's 2006 fiscal year.

F6 · derivative.exercise_date: The number of Stock Options awarded to the Reporting Person was determined by dividing the dollar amount to be granted as options ($10,453,000) by the value of each Stock Option based on a binomial option valuation method, which was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011. The Reporting Person earned a cash bonus of $27,267,500 in addition to the equity grants being described in this filing for a total bonus of $53,400,000 for fiscal 2006. The Reporting Person was the highest paid executive officer of the Issuer for the Issuer's 2006 fiscal year.

SEC source: 0000769993-06-000945 · blankfeineep_ex.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,776

Underlying: Common Stock · 77,776 shares

Expires not disclosed

F4 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs ($15,679,500) by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F4 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs ($15,679,500) by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F5 · derivative.exercise_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F5 · derivative.expiration_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000947 · weinbergeep_ex.xml · derivative · entry 4

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,160

Underlying: Common Stock · 121,160 shares

Expires 2016-11-25

F4 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F4 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000947 · weinbergeep_ex.xml · derivative · entry 3

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,038

Underlying: Common Stock · 45,038 shares

Expires not disclosed

F2 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F2 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F3 · derivative.exercise_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F3 · derivative.expiration_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000947 · weinbergeep_ex.xml · nonDerivative · entry 1

WEINBERG JOHN S · CIK 0001029647 · Vice Chairman of the Corp.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 839,358

SEC source: 0000769993-06-000949 · winkelriedeep_ex.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,228

Underlying: Common Stock · 205,228 shares

Expires 2016-11-25

F3 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F3 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000949 · winkelriedeep_ex.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,288

Underlying: Common Stock · 76,288 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F1 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F2 · derivative.exercise_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F2 · derivative.expiration_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000953 · bryaneep_ex.xml · derivative · entry 1

BRYAN JOHN H · CIK 0001180585 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,074

Underlying: Common Stock · 514 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000951 · browneeep_ex.xml · derivative · entry 1

BROWNE LORD OF MADINGLEY · CIK 0001090338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,906

Underlying: Common Stock · 514 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000955 · coheneep_ex.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,084

Underlying: Common Stock · 29,084 shares

Expires 2016-11-25

F3 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F3 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000955 · 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: 1,670

Underlying: Common Stock · 1,670 shares

Expires not disclosed

F2 · derivative.exercise_price: 1,252 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · price: 1,252 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · derivative.exercise_date: 1,252 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · derivative.expiration_date: 1,252 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

SEC source: 0000769993-06-000955 · 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: 11,171

Underlying: Common Stock · 11,171 shares

Expires not disclosed

F1 · derivative.exercise_price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · derivative.exercise_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · derivative.expiration_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000957 · cohneep_ex.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,228

Underlying: Common Stock · 205,228 shares

Expires 2016-11-25

F3 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F3 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000957 · cohneep_ex.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,288

Underlying: Common Stock · 76,288 shares

Expires not disclosed

F1 · derivative.exercise_price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F1 · price: The number of Restricted Stock Units ("RSUs") awarded to the Reporting Person was determined by dividing the dollar amount to be granted as RSUs by $201.60 (the closing price of the Issuer's Common Stock on the New York Stock Exchange on November 24, 2006, the last day of the Issuer's 2006 fiscal year).

F2 · derivative.exercise_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F2 · derivative.expiration_date: Of these RSUs, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000959 · dahlbackeep_ex.xml · derivative · entry 1

DAHLBACK CLAES · CIK 0001249256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 385 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000961 · forsteep_ex.xml · derivative · entry 3

FORST EDWARD C · CIK 0001280491 · EVP - Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,120

Underlying: Common Stock · 121,120 shares

Expires 2016-11-25

F3 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F3 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000961 · forsteep_ex.xml · derivative · entry 2

FORST EDWARD C · CIK 0001280491 · EVP - Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,346

Underlying: Common Stock · 13,346 shares

Expires not disclosed

F2 · derivative.exercise_price: 10,009 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · price: 10,009 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · derivative.exercise_date: 10,009 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

F2 · derivative.expiration_date: 10,009 of the RSUs (the "Base RSUs") were acquired by the Reporting Person for $199.84 per RSU (the closing price of the Issuer's Common Stock on the New York Stock Exchange on the grant date), while the remaining RSUs (the "Discount RSUs") were granted to the Reporting Person at no additional cost to the Reporting Person. The Base RSUs are not forfeitable for any reason; shares of Common Stock underlying the Base RSUs generally will be delivered to the Reporting Person in January 2007, but generally cannot be transferred (other than as determined by the Issuer to satisfy certain of the Reporting Person's tax obligations) before January 2010. One-half of the Discount RSUs generally will vest in each of November 2008 and November 2009, and the shares of Common Stock underlying vested Discount RSUs generally will be delivered in January 2010, subject to certain terms and conditions.

SEC source: 0000769993-06-000961 · forsteep_ex.xml · derivative · entry 1

FORST EDWARD C · CIK 0001280491 · EVP - Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,520

Underlying: Common Stock · 46,520 shares

Expires not disclosed

F1 · derivative.exercise_price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · derivative.exercise_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F1 · derivative.expiration_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000963 · friedmaneep1_ex.xml · derivative · entry 1

FRIEDMAN STEPHEN · CIK 0001029607 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,767

Underlying: Common Stock · 385 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000965 · guptaeep_ex.xml · derivative · entry 1

GUPTA RAJAT K · CIK 0001380945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283

Underlying: Common Stock · 283 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000967 · johnsoneep_ex.xml · derivative · entry 1

JOHNSON JAMES A /DC/ · CIK 0001126949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,406

Underlying: Common Stock · 514 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000969 · julibereep_ex.xml · derivative · entry 1

JULIBER LOIS D · CIK 0001127294 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,438

Underlying: Common Stock · 385 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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: 0000769993-06-000971 · kennedyeep1_ex.xml · derivative · entry 5

KENNEDY KEVIN W · CIK 0001180588 · Exec. VP - Human Capital Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,116

Underlying: Common Stock · 65,116 shares

Expires 2016-11-25

F4 · shares: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

F4 · derivative.exercise_date: The value of each Stock Option, based on a binomial option valuation method, was $49.96. Of these Stock Options, 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The Stock Options become exercisable in January 2010, although the underlying shares are subject to transfer restrictions until January 2011.

SEC source: 0000769993-06-000971 · kennedyeep1_ex.xml · derivative · entry 4

KENNEDY KEVIN W · CIK 0001180588 · Exec. VP - Human Capital Mgmt.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,009

Underlying: Common Stock · 25,009 shares

Expires not disclosed

F3 · derivative.exercise_price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F3 · price: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F3 · derivative.exercise_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

F3 · derivative.expiration_date: Of these Restricted Stock Units ("RSUs"), 40% vested immediately upon grant, with the remaining 60% vesting on November 27, 2009. The shares of Common Stock underlying these RSUs will be deliverable, without the payment of any consideration, in January 2010.

SEC source: 0000769993-06-000973 · liddyeep_ex.xml · derivative · entry 1

LIDDY EDWARD M · CIK 0001188983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,934

Underlying: Common Stock · 385 shares

Expires not disclosed

F1 · derivative.exercise_price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 · price: These Restricted Stock Units vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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 vested immediately upon grant and the shares of Common Stock underlying these Restricted Stock Units will be deliverable, without the payment of any consideration, 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.