Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 64,271 N/A N/A Option
PALM GREGORY K officer: Executive VP - General Counsel officer: Executive VP - General..
Restricted Stock Units 27,830 N/A N/A Option
WEINBERG JOHN S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 71,673 N/A N/A Option
WEINBERG JOHN S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 71,673 N/A N/A Option
COHN GARY D director, officer: Former Director, Pres. and .. director, officer: Former Direc..
Common Stock, par value $0.01 per share 74,982 N/A N/A Option
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Restricted Stock Units 83,152 N/A N/A Option
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Restricted Stock Units 23,566 N/A N/A Option
COHN GARY D director, officer: Former Director, Pres. and .. director, officer: Former Direc..
Restricted Stock Units 74,982 N/A N/A Option
SCHWARTZ MARK officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 12,476 N/A N/A Option
SCHWARTZ MARK officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 12,476 N/A N/A Option
VINIAR DAVID A director director
Common Stock, par value $0.01 per share 74,982 N/A N/A Option
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Year-End Nonqualified Stock Options 37,753 $78.78 $2,974,181 Option
COHEN ALAN M officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 20,870 N/A N/A Option
ROGERS JOHN F.W. officer: Executive Vice President officer: Executive Vice President
Restricted Stock Units 26,729 N/A N/A Option
COHEN ALAN M officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Restricted Stock Units 20,870 N/A N/A Option
VINIAR DAVID A director director
Restricted Stock Units 74,982 N/A N/A Option
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Common Stock, par value $0.01 per share 83,152 N/A N/A Sale
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 8,839 $166.82 $1,474,522 Option
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 61,319 $39.39 $2,415,355 Option
ROGERS JOHN F.W. officer: Executive Vice President officer: Executive Vice President
Common Stock, par value $0.01 per share 26,729 N/A N/A Option
BLANKFEIN LLOYD C director, officer: Chairman of the Board.. director, officer: Chairman of ..
Common Stock, par value $0.01 per share 78,044 N/A N/A Option
PALM GREGORY K officer: Executive VP - General Counsel officer: Executive VP - General..
Common Stock, par value $0.01 per share 27,830 N/A N/A Sale
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 1,914 $175 $334,950 Option
MITTAL LAKSHMI N director director
Common Stock, par value $0.01 per share 10,000 $154.16 $1,541,600 Option
MITTAL LAKSHMI N director director
Nonqualified Stock Options 10,000 $154.16 $1,541,600 Sale
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 14,873 $174.76 $2,599,235 Sale
COOPER EDITH W officer: EVP, Global Head of HCM officer: EVP, Global Head of HCM
Common Stock, par value $0.01 per share 11,587 $169.74 $1,966,777 Sale
EVANS J. MICHAEL officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 67,546 $168.23 $11,362,926 Sale
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 10,000 $154.16 $1,541,600 Option
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 10,000 $154.16 $1,541,600 Option
JOHNSON JAMES A /DC/ director director
Nonqualified Stock Options 10,000 $154.16 $1,541,600 Option
GEORGE WILLIAM W director director
Common Stock, par value $0.01 per share 4,500 $96.08 $432,360 Option
GEORGE WILLIAM W director director
Nonqualified Stock options (right to buy) 4,500 $96.08 $432,360 Sale
GEORGE WILLIAM W director director
Common Stock, par value $0.01 per share 4,500 $96.08 $432,360 Sale
DAHLBACK CLAES director director
Common Stock, par value $0.01 per share 4,500 $96.08 $432,360 Option
DAHLBACK CLAES director director
Common Stock, par value $0.01 per share 4,500 $96.08 $432,360 Option
DAHLBACK CLAES director director
Nonqualified Stock options (right to buy) 4,500 $96.08 $432,360 Sale
SPAR DEBORA L director director
Common Stock, par value $0.01 per share 200 $160 $32,000 Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 36,487 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 36,487 N/A N/A Sale
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 9,000 $96.08 $864,720 Option
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 9,000 $96.08 $864,720 Option
JOHNSON JAMES A /DC/ director director
Nonqualified Stock options (right to buy) 9,000 $96.08 $864,720 Sale
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 19,338 $161.05 $3,114,385 Sale
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 50,000 $152.03 $7,601,300 Sale
COHEN ALAN M officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Common Stock, par value $0.01 per share 7,000 $150 $1,050,000 Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 39,946 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 39,946 N/A N/A Option
PALM GREGORY K officer: Executive VP - General Counsel officer: Executive VP - General..
Common Stock, par value $0.01 per share 36,860 N/A N/A Option
COOPER EDITH W officer: EVP, Global Head of HCM officer: EVP, Global Head of HCM
Common Stock, par value $0.01 per share 45,126 N/A N/A