Option
ROGERS JOHN F.W. officer: Executive Vice President officer: Executive Vice President
Nonqualified Stock Options (right to buy) 86,692 N/A N/A Sale
ROGERS JOHN F.W. officer: Executive Vice President officer: Executive Vice President
Common Stock, par value $0.01 per share 86,692 N/A N/A Option
ROGERS JOHN F.W. officer: Executive Vice President officer: Executive Vice President
Common Stock, par value $0.01 per share 86,692 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 34,557 N/A N/A Sale
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 18,315 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 34,557 N/A N/A Option
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 5,800 N/A N/A Option
JOHNSON JAMES A /DC/ director director
Nonqualified Stock Options 5,800 N/A N/A Sale
JOHNSON JAMES A /DC/ director director
Common Stock, par value $0.01 per share 5,800 N/A N/A Option
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Nonqualified Stock Options (right to buy) 91,285 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 91,285 N/A N/A Sale
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Common Stock, par value $0.01 per share 22,176 N/A N/A Sale
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Common Stock, par value $0.01 per share 9,936 N/A N/A Sale
SPAR DEBORA L director director
Common Stock, par value $0.01 per share 300 N/A N/A Option
COOPER EDITH W officer: EVP, Global Head of HCM officer: EVP, Global Head of HCM
Year-End Nonqualified Stock Options 52,434 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 52,434 N/A N/A Sale
COOPER EDITH W officer: EVP, Global Head of HCM officer: EVP, Global Head of HCM
Common Stock, par value $0.01 per share 13,297 N/A N/A Sale
DAHLBACK CLAES director director
Common Stock, par value $0.01 per share 5,000 N/A N/A Option
DAHLBACK CLAES director director
Common Stock, par value $0.01 per share 5,000 N/A N/A Option
DAHLBACK CLAES director director
Nonqualified Stock Options 5,000 N/A N/A Sale
GEORGE WILLIAM W director director
Common Stock, par value $0.01 per share 4,770 N/A N/A Option
GEORGE WILLIAM W director director
Common Stock, par value $0.01 per share 5,000 N/A N/A Option
GEORGE WILLIAM W director director
Nonqualified Stock Options 5,000 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
SMITH SARAH G officer: EVP, Global Head of Compliance officer: EVP, Global Head of Co..
Year-End Nonqualified Stock Options 37,753 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 64,271 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
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 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
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
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
VINIAR DAVID A director director
Restricted Stock Units 74,982 N/A N/A Option
COOPER EDITH W officer: EVP, Global Head of HCM officer: EVP, Global Head of HCM
Restricted Stock Units 26,020 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
SCHWARTZ MARK officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 12,476 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
SCHWARTZ HARVEY M officer: President and Co-COO officer: President and Co-COO
Restricted Stock Units 83,152 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 26,020 N/A N/A Option
SHERWOOD MICHAEL S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 64,271 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
WEINBERG JOHN S officer: Vice Chairman officer: Vice Chairman
Common Stock, par value $0.01 per share 71,673 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
BLANKFEIN LLOYD C director, officer: Chairman of the Board.. director, officer: Chairman of ..
Restricted Stock Units 78,044 N/A N/A Option
WEINBERG JOHN S officer: Vice Chairman officer: Vice Chairman
Restricted Stock Units 71,673 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 N/A N/A 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
COHN GARY D director, officer: Former Director, Pres. and .. director, officer: Former Direc..
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 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 N/A N/A