UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
Amendment No. 3
The MONY Group Inc.
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(Name of Issuer)
Common Stock, $0.01 par value
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(Title of Class of Securities)
615337102
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(CUSIP Number)
December 31, 2000
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[X] Rule 13d-1(c)
[_] Rule 13d-1(d)
Page 1 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
Goldman, Sachs & Co.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
New York
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,686,173
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
3,686,173
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,686,173
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
7.4%
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12. Type of Reporting Person
BD-PN-IA
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Page 2 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
The Goldman Sachs Group, Inc.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,686,173
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
3,686,173
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,686,173
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
7.4%
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12. Type of Reporting Person
HC-CO
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Page 3 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
GS Mezzanine Partners, L.P.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
2,239,331
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
2,239,331
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
2,239,331
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
4.6%
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12. Type of Reporting Person
PN
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Page 4 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
GS Mezzanine Partners Offshore, L.P.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Cayman Islands
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
1,202,464
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
1,202,464
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
1,202,464
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
2.5%
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12. Type of Reporting Person
PN
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Page 5 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
GS Mezzanine Advisors, L.L.C.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
3,441,795
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
3,441,795
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,441,795
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
6.9%
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12. Type of Reporting Person
OO
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Page 6 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
Stone Street Fund 1997, L.P.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
76,584
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
76,584
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
76,584
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
0.2%
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12. Type of Reporting Person
PN
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Page 7 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
Bridge Street Fund 1997, L.P.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
37,194
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
37,194
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
37,194
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
0.1%
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12. Type of Reporting Person
PN
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Page 8 of 15 pages
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CUSIP No. 615337102 13G
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1. Name of Reporting Person
I.R.S. Identification No. of above Person
Stone Street 1997, L.L.C.
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2. Check the Appropriate Box if a Member of a Group
(a) [_]
(b) [_]
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3. SEC Use Only
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4. Citizenship or Place of Organization
Delaware
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5. Sole Voting Power
Number of 0
Shares ----------------------------------------------------------
6. Shared Voting Power
Beneficially
113,778
Owned by
----------------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 0
Person ----------------------------------------------------------
8. Shared Dispositive Power
With:
113,778
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9. Aggregate Amount Beneficially Owned by Each Reporting Person
113,778
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
[_]
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11. Percent of Class Represented by Amount in Row (9)
0.2%
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12. Type of Reporting Person
OO
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Page 9 of 15 pages
Item 4. Ownership.(1)(2)(3)
(a). Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b). Percent of Class:
See the response(s) to Item 11 on the attached cover page(s).
(c). Number of shares as to which such person has:
(i). Sole power to vote or to direct the vote: See the
response(s) to Item 5 on the attached cover page(s).
(ii). Shared power to vote or to direct the vote: See the
response(s) to Item 6 on the attached cover page(s).
(iii). Sole power to dispose or to direct the disposition
of: See the response(s) to Item 7 on the attached
cover page(s).
(iv). Shared power to dispose or to direct the disposition
of: See the response(s) to Item 8 on the attached
cover page(s).
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company.
See Exhibit (99.1)
Item 10. Certification.
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were not
acquired and are not held for the purpose of or with the
effect of changing or influencing the control of the issuer
of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having
that purpose or effect.
--------------------------
(1) Includes an aggregate of 3,555,573 shares of Common Stock issuable upon
exercise of currently exercisable Warrants held by GS Mezzanine Partners, L.P.,
GS Mezzanine Partners Offshore, L.P., Stone Street Fund 1997, L.P., and Bridge
Street Fund 1997, L.P. (collectively, the "Investing Entities"), pursuant to the
Investment Agreement, dated as of December 30, 1997, by and among The Mutual
Life Insurance Company of New York, MONY Financial Services Corporation (now
known as The MONY Group Inc.) and the Investing Entities.
(2) In accordance with Securities and Exchange Commission ("SEC") Release No.
34-39538 (January 12, 1998), this filing reflects the fact that The Goldman
Sachs Group, Inc. ("GS Group") and Goldman, Sachs & Co. ("Goldman Sachs") will
no longer report the beneficial ownership of the securities beneficially owned
by the asset management unit of Goldman Sachs (the "Asset Management Unit"). The
Asset Management Unit will separately report, to the extent required, its
beneficial ownership of securities.
(3) GS Group and Goldman Sachs each disclaim beneficial ownership of the
securities beneficially owned by (i) any client accounts with respect to which
Goldman Sachs or employees of Goldman Sachs have voting or investment
discretion, or both and (ii) certain investment entities, of which a subsidiary
of GS Group or Goldman Sachs is the general partner, managing general partner or
other manager, to the extent interests in such entities are held by persons
other than GS Group, Goldman Sachs or their affiliates.
Page 10 of 15 pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge
and belief, I certify that the information set forth in
this statement is true, complete and correct.
Date: February 14, 2001
GOLDMAN, SACHS & CO. THE GOLDMAN SACHS GROUP, INC.
By:/s/ Roger S. Begelman By:/s/ Roger S. Begelman
--------------------------------- ---------------------------------
Name: Roger S. Begelman Name: Roger S. Begelman
Title: Attorney-in-fact Title: Attorney-in-fact
GS MEZZANINE PARTNERS, L.P. GS MEZZANINE PARTNERS OFFSHORE, L.P.
By:/s/ Roger S. Begelman By:/s/ Roger S. Begelman
--------------------------------- ---------------------------------
Name: Roger S. Begelman Name: Roger S. Begelman
Title: Attorney-in-fact Title: Attorney-in-fact
GS MEZZANINE ADVISORS, L.L.C. STONE STREET FUND 1997, L.P.
By:/s/ Roger S. Begelman By:/s/ Roger S. Begelman
--------------------------------- ---------------------------------
Name: Roger S. Begelman Name: Roger S. Begelman
Title: Attorney-in-fact Title: Attorney-in-fact
BRIDGE STREET FUND 1997, L.P. STONE STREET 1997, L.L.C.
By:/s/ Roger S. Begelman By:/s/ Roger S. Begelman
--------------------------------- ---------------------------------
Name: Roger S. Begelman Name: Roger S. Begelman
Title: Attorney-in-fact Title: Attorney-in-fact
Page 11 of 15 pages
INDEX TO EXHIBITS
Exhibit No. Exhibit
----------- -------
99.1 Item 7 Information
99.2 Power of Attorney, dated December 8, 2000, relating to
Goldman, Sachs & Co.
99.3 Power of Attorney, dated December 8, 2000, relating to The
Goldman Sachs Group, Inc.
Page 12 of 15 pages
Exhibit (99.1)
ITEM 7 INFORMATION
The securities being reported on by the The Goldman Sachs Group, Inc.
("GS Group"), as a parent holding company, are owned by GS Mezzanine Partners,
L.P., Stone Street Fund 1997, L.P. and Bridge Street Fund 1997, L.P., each a
Delaware limited partnership, and GS Mezzanine Partners Offshore, L.P., a Cayman
Islands exempted limited partnership (collectively, the "Investing Entities"),
or are owned, or may be deemed to be beneficially owned, by Goldman, Sachs & Co.
("Goldman Sachs"), a broker or dealer registered under Section 15 of the Act and
an investment adviser registered under Section 203 of the Investment Advisers
Act of 1940. The general partner, managing general partner or other manager of
each of the Investing Entities is an affiliate of GS Group. Goldman Sachs is a
direct and indirect wholly-owned subsidiary of GS Group. Goldman Sachs is the
investment manager of certain of the Investing Entities.
Page 13 of 15 pages
Exhibit (99.2)
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS that GOLDMAN, SACHS & CO. (the
"Company") does hereby make, constitute and appoint each of Hans L. Reich and
Roger S. Begelman, acting individually, its true and lawful attorney, to execute
and deliver in its name and on its behalf whether the Company is acting
individually or as representative of others, any and all filings required to be
made by the Company under the Securities Exchange Act of 1934, (as amended, the
"Act"), with respect to securities which may be deemed to be beneficially owned
by the Company under the Act, giving and granting unto each said
attorney-in-fact power and authority to act in the premises as fully and to all
intents and purposes as the Company might or could do if personally present by
one of its authorized signatories, hereby ratifying and confirming all that said
attorney-in-fact shall lawfully do or cause to be done by virtue hereof.
THIS POWER OF ATTORNEY shall remain in full force and effect until either
revoked in writing by the undersigned or until such time as the person or
persons to whom power of attorney has been hereby granted cease(s) to be an
employee of The Goldman Sachs Group, Inc. or one of its affiliates.
IN WITNESS WHEREOF, the undersigned has duly subscribed these presents as
of December 8th, 2000.
GOLDMAN, SACHS & CO.
By: s/ Gregory K. Palm
----------------------------
Name: Gregory K. Palm
Title: Managing Director
Page 14 of 15 pages
Exhibit (99.3)
POWER OF ATTORNEY
KNOW ALL PERSONS BY THESE PRESENTS that THE GOLDMAN SACHS GROUP, INC. (the
"Company") does hereby make, constitute and appoint each of Hans L. Reich and
Roger S. Begelman, acting individually, its true and lawful attorney, to execute
and deliver in its name and on its behalf whether the Company is acting
individually or as representative of others, any and all filings required to be
made by the Company under the Securities Exchange Act of 1934 (as amended, the
"Act"), with respect to securities which may be deemed to be beneficially owned
by the Company under the Act, giving and granting unto each said
attorney-in-fact power and authority to act in the premises as fully and to all
intents and purposes as the Company might or could do if personally present by
one of its authorized signatories, hereby ratifying and confirming all that said
attorney-in-fact shall lawfully do or cause to be done by virtue hereof.
THIS POWER OF ATTORNEY shall remain in full force and effect until either
revoked in writing by the undersigned or until such time as the person or
persons to whom power of attorney has been hereby granted cease(s) to be an
employee of The Goldman Sachs Group, Inc. or one of its affiliates.
IN WITNESS WHEREOF, the undersigned has duly subscribed these presents as
of December 8th, 2000.
THE GOLDMAN SACHS GROUP, INC.
By: s/ Gregory K. Palm
------------------------------------
Name: Gregory K. Palm
Title: Executive Vice President and General Counsel
Page 15 of 15 pages