Goldman Sachs & Co MA/A Municipal Advisor registration (firm) (amended)

FORM MA

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

OMB APPROVAL

AMENDMENT OF A PRIOR APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION FOR BUSINESS ENTITIES

OMB Number: 3235-0681

Estimated average burden hours per response: 0.5

Form MA Applicant's Information

CIK

CCC

Submission Contact Information

Contact Person for this Filing

Yvette Kosic

Contact Phone

Contact Email Address

yvette.kosic@gs.com

Contact Email Address

kimberly.williams@gs.com

Please read the General Instructions for this form and other forms in the MA series, as well as its subsection, "Specific Instructions for Certain Items in Form MA," before completing this form. All italicized terms herein are defined or described in the Glossary of Terms appended to the General Instructions.

Part I

This form must be completed by municipal advisors that are organized entities, including sole proprietors (referred to herein as "municipal advisory firms" or "firms," unless the context indicates otherwise).

WARNING:

Complete this form truthfully. False statements or omissions may result in denial of application, revocation of registration, administrative or civil action, or criminal prosecution. Form MA must be amended promptly upon the occurrence of certain material events, and updated at least annually, within 90 days of the end of the municipal advisor's fiscal year, or, if a sole proprietor, the municipal advisor's calendar year. See General Instruction 8.

Type of Filing:

This is an:

Check the appropriate box.

Initial application to register as a municipal advisor with the SEC.

Execution Page: After completing this form, you must complete the Execution Page.

Supporting Documentation: If you are required to make reportable disclosures in the Disclosure Reporting Pages, you must attach the supporting documentation.

Non-Resident Applicants: If you are a non-resident of the United States, certain additional requirements must be met at the time of filing your application, or processing of your application may be delayed. See General Instruction 2.c. and subsection "General Instructions to Form MA-NR" of the General Instructions.

Annual update of municipal advisor’s Form MA, for fiscal year ended , or, if a sole proprietor, for calendar year ended December 31, .

Execution Page: After completing this form, you must complete the Execution Page.

Changes: Are there any changes in this annual update to information provided in the municipal advisor’s most recent Form MA, other than the updated Execution Page?  Yes No

Amendment (other than annual update) to any part of the municipal advisor’s most recent Form MA.

Execution Pages: After completing this form, you must complete the Execution Page.

Item 1 Identifying Information

A. Full Legal Name of the Firm

(1) Firm Name:

GOLDMAN SACHS & CO

Organization CRD No.,if any:

(2) Sole Proprietor: If the applicant is a sole proprietor, check here, and provide full last name, first name, middle name, and suffix, if any:

Yes No

(3) Name Change: If full legal name has changed since the municipal advisor's most recent Form MA, check here and provide the previous full legal name.

Yes No

(specify)

B. Doing-Business-As (DBA) Name

(1) If the name under which municipal advisor-related business is primarily conducted is different from Item 1-A., check here and provide the DBA name.

Yes No

(2) Previous DBA Name: If name under which municipal advisor-related business is primarily conducted has changed since the municipal advisor's most recent Form MA, check here and provide the previous name under which the municipal advisor-related business was primarily conducted.

Yes No

(3) Additional Names:

(a) Is municipal advisor-related business conducted under any additional names?

Yes No

(b) List any additional names on Section 1-B of Schedule D.

C. (1) IRS Employer Identification Number:

D. Registrations

(1) Form MA-T Registration: Was the applicant previously registered on Form MA-T as a municipal advisor?

Yes No

If "Yes", enter the SEC File No. MA-T:

(2) Other Registrations: Is the applicant registered as or with any of the following?

Check all that apply. For each registration box you checked, provide the requested file number(s). An applicant firm should NOT provide the organization CRD number, or other specified number, of any of its organizational affiliates, or the individual CRD number of its officers, employees, or natural person affiliates.

Municipal Advisor

SEC File No.:

Municipal Securities Dealer

SEC File No.:

Broker-Dealer

SEC File No.:

Organization CRD No.:

Investment Adviser

SEC -Registered

SEC File No.:

Organization CRD No.:

Exempt Reporting Adviser

SEC File No.:

Organization CRD No.:

Registered in US State or Other US Jurisdiction

Organization CRD No.:

Investment Adviser Registration in a US State or Other US Jurisdiction: If predecessor municipal advisory firm is registered in a US state or other jurisdiction as an investment adviser, enter the organization CRD Number above. In the table below, select each US state or jurisdiction in which the predecessor municipal advisory firm is so registered.

Check All That Apply:

US State or Jurisdiction

(Code)

US State or Jurisdiction

(Code)

Alabama

(AL)

Montana

(MT)

Alaska

(AK)

Nebraska

(NE)

Arizona

(AZ)

Nevada

(NV)

Arkansas

(AR)

New Hampshire

(NH)

California

(CA)

New Jersey

(NJ)

Colorado

(CO)

New Mexico

(NM)

Connecticut

(CT)

New York

(NY)

Delaware

(DE)

North Carolina

(NC)

District of Columbia

(DC)

North Dakota

(ND)

Florida

(FL)

Ohio

(OH)

Georgia

(GA)

Oklahoma

(OK)

Guam

(GU)

Oregon

(OR)

Hawaii

(HI)

Pennsylvania

(PA)

Idaho

(ID)

Puerto Rico

(PR)

Illinois

(IL)

Rhode Island

(RI)

Indiana

(IN)

South Carolina

(SC)

Iowa

(IA)

South Dakota

(SD)

Kansas

(KS)

Tennessee

(TN)

Kentucky

(KY)

Texas

(TX)

Louisiana

(LA)

Utah

(UT)

Maine

(ME)

Vermont

(VT)

Maryland

(MD)

Virgin Islands

(VI)

Massachusetts

(MA)

Virginia

(VA)

Michigan

(MI)

Washington

(WA)

Minnesota

(MN)

Wisconsin

(WI)

Mississippi

(MS)

West Virginia

(WV)

Missouri

(MO)

Government Securities Broker-Dealer

SEC File No.:

Bank Identifier:

Other SEC Registration
(Specify):

SEC File No. (if any):

EDGAR CIK (if any):

Another federal or state regulator(Specify):

National Futures Association

Registration No. (if any):

0002014

(3) Additional Registrations:

(a) Does the applicant have any additional registrations that are not listed in subsection (2)?

Yes No

(b) List any such additional registrations on Section 1-D of Schedule D.

E. Principal Office and Place of Business

(1) Address: Do not use a P.O. Box.

Street Address 1:

200 WEST STREET

Street Address 2:

City:

NEW YORK

State/Country:

NEW YORK

Postal Code:

10282

Telephone Number at this location:

2129021000

Fax Number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.

Yes No

(2) Additional Offices:

(a) Is municipal advisor-related business conducted at any office(s) other than applicant's principal office and place of business listed above?

Yes No

(b) If "Yes," list the five largest such additional offices on Section 1-E of Schedule D.

(3) Mailing Address: Is the mailing address different from principal office and place of business address in Item 1-E(1)?

Yes No

If "Yes," complete this item.

Street Address 1:

Street Address 2:

City:

State/Country:

Postal Code:

Is this address a private residence? A private residential address will not be included in publicly available versions of this registration form.

Yes No

F. Website

(1) Provide the address of the applicant's principal website (if any):

(specify)

www.gs.com

(2) Does the applicant have any additional websites?

Yes No

(3) Total number of additional websites

(specify)

(4) List all additional website addresses on Section 1-F of Schedule D.

G. If the applicant has a Chief Compliance Officer, provide his or her name and contact information

Please note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided.

Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:

POMPEY

First Name:

ASAHI

Middle Name:

MAZIWA

Other title(s), if any:

Street Address 1:

200 WEST STREET

Street Address 2:

City:

NEW YORK

State/Country:

NEW YORK

Postal Code:

10282

For non-US telephone and fax numbers, include country code with area code and local number.

Telephone Number:

212-902-1000

Fax Number:

E-mail Address of Chief Compliance Officer:

H. Contact Person

If a person other than the Chief Compliance Officer is authorized to receive information and respond to questions about this form, provide the name and contact information for that person :

Please note that the applicant must provide name and contact information for either a Chief Compliance Officer in Question 1.G., or another contact person in Question 1.H below. Both may be provided.

Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter NMN on that line.

Last Name:

KOSIC

First Name:

YVETTE

Middle Name:

NMN

Other title(s), if any:

Street Address 1:

30 HUDSON STREET

Street Address 2:

City:

JERSEY CITY

State/Country:

NEW JERSEY

Postal Code:

07302

For non-US telephone and fax numbers, include country code with area code and local number.

Telephone Number:

212-902-1000

Fax Number:

E-mail Address of Contact Person:

I. Location of Books and Records

(1) Does the applicant maintain, or intend to maintain, some or all of the books and records required to be kept under MSRB rules and SEC rules at a location other than the principal office and place of business address listed in Item 1-E?

Yes No

(2) If "Yes," list all such locations in Section 1-I of Schedule D.

J. Foreign Financial Regulatory Authorities

(1) Is the applicant registered with a foreign financial regulatory authority? Answer "no" even if affiliated with a business that is registered with a foreign financial regulatory authority.

Yes No

(2) If "Yes," list all such registrations in Section 1-J of Schedule D.

K. Business Affiliates of the Applicant

(1) Is the applicant affiliated with any other domestic or foreign business entities?

Yes No

(2) If "Yes," provide the names of all such affiliates and any applicable registrations in Section 1-K of Schedule D .

Item 2 Form of Organization

A. Applicant's form of organization

If this is not an initial application, and the applicant’s form of organization has changed since the applicant’s most recent Form MA, see Instruction 8 of the General Instructions.

Corporation Sole Proprietorship Limited Liability Partnership (LLP)

Partnership Limited Liability Company (LLC) Limited Partnership (LP)

Other (specify)

B. Month of Applicant's Annual Fiscal Year End

(Sole proprietors are not required to complete this subpart B.)

C. State, Other US Jurisdiction, or Foreign Jurisdiction Under Which Applicant is Organized

If the applicant is a corporation or limited liability company, indicate the state or jurisdiction where the applicant is incorporated. If the applicant is a partnership, indicate the name of the state or jurisdiction under the laws of which the partnership was formed. If applicant is a sole proprietor, indicate the state or jurisdiction in which applicant resides.

If this is not an initial application for registration, and the applicant's information has changed since the applicant's most recent Form MA, see General Instruction 8.

Enter the full name of the U.S. jurisdiction, or the full name, in English, of the foreign jurisdiction:

D. Date of Organization:

E. Public Reporting Company

(1) Is the applicant a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

(2) If "Yes," provide applicant's CIK number

(A CIK, or Central Index Key number, is assigned by the SEC to every public reporting company.)

Company Name

GOLDMAN SACHS & CO

Item 3 Successions

A. Is the applicant, at the time of this filing, succeeding to the business of a registered municipal advisor?

If this succession was previously reported on Form MA, do not report the succession again. Instead, check "No." See Instruction 1 of the Specific Instructions for Form MA included in the General Instructions.

Yes No

If "Yes" enter the Date of Succession:

B. If "Yes," in Item 3.A., complete Section 3 of Schedule D.

If "Yes," in Item 3.A., complete Section 3 of Schedule D.

Item 4 Information About Applicant's Business

Note: Instruction 2 of the Specific Instructions for Certain Items in Form MA included in the General Instructions provides guidance for newly formed municipal advisors completing this Item 4.

Employees

If the applicant is organized as a sole proprietorship, include the sole proprietor as an employee.

A. Number of Employees:

Approximate number of employees of applicant. Include full- and part-time employees, but do not include clerical, administrative, or support workers (or workers performing similar functions): (If none, enter a zero.):

B. Municipal Advisory Activities:

Approximately how many of these employees engage in municipal advisory activities? (Include such employees even if they perform other functions in addition to engaging in municipal advisory activities.) If none, enter a zero.

C. Registered Representatives

(1) Approximately how many of the employees who are included in the response to part B are registered representatives of a broker-dealer? If none, enter a zero.

(2) Approximately how many are investment adviser representatives? If none, enter a zero.

D. Firms and Other Persons that Solicit on Behalf of the Applicant

Approximately how many firms and other persons who are not employed by the applicant and who are not otherwise associated persons of the applicant solicit clients on the applicant's behalf? (If none, enter a zero. Count a firm only once; do not count each of the firm’s employees that solicits on the applicant’s behalf.)

Please list the names of these firms and other persons on Section 4-D of Schedule D.

E. Employees Also Acting as Affiliates of the Applicant

(1) Does the applicant have any employees that also do business independently on the applicant's behalf as affiliates of the applicant?

YES NO

(2) Total number of such employees:

(3) List the names of these employees on Section 4-E of Schedule D.

Clients

F. Types of Clients

Approximately how many clients did the applicant serve in the context of its municipal advisory activities during its most-recently completed fiscal year? (If none, enter a zero and check box 5 below).

The applicant has the following types of clients:

Check all that apply.

(1) Municipal Entities
(2) Non-profit organizations (e.g., 501(c)(3) organizations) who are obligated persons
(3) Corporations or other businesses not listed above who are obligated persons
(4) Other: (specify)
(5) Not applicable - applicant engages only in solicitation; does not serve clients in the context of its municipal advisory activities

G. Solicitations Of Municipal Entities and Obligated Persons

Approximately how many municipal entities and obligated persons were solicited by the applicant on behalf of a third-party during its most-recently completed fiscal year? (If the applicant solicits its clients in addition to serving these clients in the context of its municipal advisory activities, the clients should be counted in the response to this Part G even if counted in Part F.)

(1) Municipal Entities:

If none, enter a zero.

(2) Obligated Persons:

If none, enter a zero

(3) Total:

H. Types of Persons Solicited

The applicant solicits the following types of persons:

Check all that apply.

(1) Public pension funds
(2) 529 Plans
(3) Local government investment pools
(4) State government investment pools
(5) Hospitals
(6) Colleges
(7) Other: (specify)
(8) Not applicable – applicant only serves clients; does not engage in solicitation in the context of its municipal advisory activities

Compensation Arrangements

I. Applicant is compensated for its advice to or on behalf of municipal entities or obligated persons with respect to municipal financial products or the issuance of municipal securities by:

Check all that apply.

(1) Hourly charges
(2) Fixed fees (not contingent on the issuance of municipal securities)
(3) Contingent fees
(4) Subscription fees (for a newsletter or other publications)
(5) Other: (specify)
(6) Not applicable – applicant engages only in solicitation; does not serve clients in the context of its municipal advisory activities

J. Applicant is compensated for its solicitation activities by:

Check all that apply.

(1) Hourly charges
(2) Fixed fees (not contingent on the success of solicitations)
(3) Contingent fees
(4) Subscription fees (for a newsletter or other publications)
(5) Other: (specify)
(6) Not applicable; applicant only serves clients; does not engage in solicitation as part of its municipal advisory activities

K. Does the applicant receive compensation, in the context of its municipal advisory activities, from anyone other than clients?

YES NO

If "Yes", please explain:

Applicant's Business Relating to Municipal Securities

L. Applicant is engaged in the following types of activities:

Check all that apply.

(1) Advice concerning the issuance of municipal securities (including, without limitation, advice concerning the structure, timing, terms and other similar matters, such as the preparation of feasibility studies, tax rate studies, appraisals and similar documents, related to an offering of municipal securities)

(2) Advice concerning the investment of the proceeds of municipal securities (including, without limitation, advice concerning the structure, timing, terms and other similar matters concerning such investments)

(3) Advice concerning municipal escrow investments (including, without limitation, advice concerning their structure, timing, terms and other similar matters)

(4) Advice concerning the investment of other funds of a municipal entity (including, without limitation, advice concerning the structure, timing, terms and other similar matters concerning such investments)

(5) Advice concerning guaranteed investment contracts (including, without limitation, advice concerning their structure, timing, terms and other similar matters)

(6) Advice concerning the use of municipal derivatives (including, without limitation, advice concerning their structure, timing, terms and other similar matters)

(7) Solicitation of investment advisory business from a municipal entity or obligated person (including, without limitation, municipal pension plans) on behalf of an unaffiliated broker, dealer, municipal advisor or investment adviser (e.g., third party marketers, placement agents, solicitors, and finders)

(8) Solicitation of business other than investment advisory business from a municipal entity or obligated person on behalf of an unaffiliated person or firm (e.g., third party marketers, placement agents, solicitors, and finders)

(9) Advice or recommendations concerning the selection of other municipal advisors or underwriters with respect to municipal financial products or the issuance of municipal securities

(10) Brokerage of municipal escrow investments

(11) Other: (specify)

Item 5 Other Business Activities

A. Applicant is actively engaged in business in or as a:

Is Applicant Actively Engaged?
Check all that apply.

Is this Applicant’s Primary Business(es)?
Check all that apply.

1. Broker-dealer, municipal securities dealer or government securities broker or dealer

2. Registered representative of a broker-dealer

3. Commodity pool operator (whether registered or exempt from registration)

4. Commodity trading advisor (whether registered or exempt from registration)

5. Futures commission merchant

6. Major swap participant

7. Major security-based swap participant

8. Swap dealer

9. Security-based swap dealer

10. Trust company

11. Real estate broker, dealer, or agent

12. Insurance company, broker, or agent

13. Banking or thrift institution (including a separately identifiable department or division of a bank)

14. Investment adviser (including financial planners)

15. Attorney or law firm (Jurisdiction(s) where licensed)

Jurisdiction(s) where licensed (specify)

16. Accountant or accounting firm (Jurisdiction(s) where licensed)

Jurisdiction(s) where licensed (specify)

17. Engineer or engineering firm

Jurisdiction(s) where licensed

18. Other financial product advisor

(specify)

B. Other Business

(1) Is applicant actively engaged in any other business not listed in Part A of this Item (other than engaging in municipal advisory activities)?

Yes No

(2) If "Yes" to Part B-1., is this other business applicant's primary business?

Yes No

(3) If "Yes" to Part B-2., describe the other business on Section 5-B of Schedule D.

Item 6 Financial Industry and Other Activities of Associated Persons

A. Applicant has one or more associated persons that is a:

Check all that apply.

"Associated Person" herein refers to a person who is an associated person of a municipal advisor. Note that "associated person" includes employees and persons with control over the municipal advisor that do not themselves engage in municipal advisory activities, but does not include employees that are performing solely clerical, administrative, support or other similar functions. Note also that more than one box may be applicable to any such associated person. For example, if an associated person is both a swap dealer and security-based swap adviser, check both boxes (4) and (5) below.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

Total Associated Persons:

Provide the total number of such associated persons:

Provide the total number of such associated persons, not the number of boxes checked. For example, if the applicant's associated persons are 2 broker-dealers, 1 investment company, and 2 pension consultants, then 3 boxes would be checked in Item 6-A.1 to 20, while the total number of such associated persons entered in Item 6-A., Total Associated Persons, would be 5. If there are no associated persons, enter 0 (zero).

B. Applicant must list all such associated persons, including foreign associated persons, on Section 6 of Schedule D.

If Item 6-A. Total Associated Persons, is 2 or more, the applicant must complete a separate Section 6 of Schedule D for each associated person.

Item 7 Participation or Interest of Applicant, or of Associated Persons of Applicant, in Municipal Advisory Client or Solicitee Transactions

Proprietary Interest in Municipal Advisory Client or Solicitee Transactions

A. Does applicant or any associated person:

(1) buy securities or other investment or derivative products for itself from clients or solicitees in the context of its municipal advisory activities, or sell securities it owns to such clients or solicitees?

Yes No

(2) buy or sell for itself securities (other than shares of mutual funds) or other investment or derivative products that the applicant also recommends to such clients or solicitees?

Yes No

(3) enter into derivatives contracts with such clients or solicitees?

Yes No

(4) recommend securities or other investment or derivative products to such clients or solicitees in which applicant or any associated person has some other proprietary (ownership) interest (other than those mentioned in Items 7-A(1), (2) or (3) above)?

Yes No

Sales Interest in Client or Solicitee Transactions

B. Does applicant or any associated person:

(1) recommend purchases of securities or derivatives to clients or solicitees that are served by the applicant or associated person, for which the applicant or any associated person serves as underwriter, general or managing partner, or purchaser representative?

Yes No

(2) recommend purchases or sales of securities or derivatives to such clients or solicitees in which applicant or any associated person has any other sales interest (other than the receipt of sales commissions as a broker or registered representative of a broker-dealer)?

Yes No

Investment or Brokerage Discretion

C. Does applicant or any associated person have discretionary authority to determine the:

(1) securities or other investment or derivative products to be bought or sold for the account of a client or solicitee?

Yes No

(2) amount of securities or other investment or derivative products to be bought or sold for the account of such a client or solicitee?

Yes No

(3) (a) broker or dealer to be used for a purchase or sale of securities or other investment or derivative products for the account of such a client or solicitee?

Yes No

(b) If "Yes," are any of the brokers or dealers associated persons?

Yes No

(4) commission rates or other fees to be paid to a broker or dealer for such a client's or solicitee's securities transactions or transactions in other investment or derivative products?

Yes No

D.

(1) Does applicant or any associated person recommend brokers, dealers or investment advisers to clients or solicitees in the context of its municipal advisory activities?

Yes No

(2) If "Yes," is any such broker, dealer, or investment adviser an associated person?

Yes No

In responding to Items 7-E and 7-F below, consider all cash and non-cash compensation that the applicant or an associated person gave or received from any person in exchange for referrals of such clients or solicitees, including any bonus that is based, at least in part, on the number or amount of such referrals.

E. Does the applicant or any associated person, directly or indirectly, compensate any person for referrals of clients or solicitees in connection with municipal advisory activities?

Yes No

F. Does the applicant or any associated person, directly or indirectly, receive compensation from any person for referrals of clients or solicitees in connection with municipal advisory activities?

Yes No

Item 8 Owners, Officers and Other Control Persons

A. Identifying Owners, Officers and Other Control Persons

(1) In this Item, identify every person that, directly or indirectly, controls the applicant, or that the applicant directly or indirectly controls.

(a) If this is an initial application, the applicant must complete Schedule A and Schedule B.

Schedule A asks for information about direct owners and executive officers.

Schedule B asks for information about indirect owners.

(b) If this is an amendment updating information reported on either the Schedule A or Schedule B (or both) filed with the applicant's initial application, the applicant must also complete Schedule C.

(2) Does any person not named in Item 1-A or Schedules A, B, or C, directly or indirectly, control the applicant's management or policies?

Yes No

(3) If "Yes" to Item 8-A.2. above, complete Section 8-A of Schedule D.

B. Public Reporting Companies

(1) Is any person in Schedules A, B, or C, or in Section 8-A of Schedule D a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934?

Yes No

(2) If "Yes" to Item 8-B.1. above, complete Section 8-B of Schedule D.

Item 9 Disclosure Information

In this Item, provide information about the criminal, regulatory, and judicial history, if any, of the applicant and each associated person of the applicant.

This information is used to determine whether to approve an application for registration, to decide whether to revoke registration, or to place limitations on the applicant's activities as a municipal advisor, and to identify potential problem areas on which to focus during on-site examinations. One event may result in the requirement to answer "Yes" to more than one question below.

Refer to the Glossary of Terms for explanations of italicized terms, such as associated person.

Criminal Action Disclosure

If the answer is "Yes" to any question below in Part A or B below, complete a Criminal Action DRP.

Disclosure of any event listed in this Criminal Action Disclosure Section is not required if the date of the event was more than ten years ago. For purposes of calculating this ten-year period, the date of an event is the date that the final order, judgment, or decree was entered, or the date that any rights of appeal from preliminary orders, judgments, or decrees lapsed.

Check all that apply.

A. In the past ten years, has the applicant or any associated person:

(1) been convicted of any felony, or pled guilty or nolo contendere ("no contest") to any charge of a felony, in a domestic, foreign, or military court?

Yes No

(2) been charged with any felony?

Yes No

The response to Item 9-A(2) may be limited to charges that are currently pending.

B. In the past ten years, has the applicant or any associated person:

(1) been convicted of any misdemeanor, or pled guilty or nolo contendere ("no contest"), in a domestic, foreign, or military court to any charge of a misdemeanor in a case involving: municipal advisor-related business, investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?

Yes No

(2) been charged with a misdemeanor of the kind listed in Item 9-B(1)?

Yes No

The response to Item 9-B(2) may be limited to charges that are currently pending.

Regulatory Action Disclosure

If the answer is "Yes" to any question in Parts C-G below, complete a Regulatory Action DRP.

Check all that apply.

C. Has the SEC or the CFTC ever:

(1) found the applicant or any associated person to have made a false statement or omission?

Yes No

(2) found the applicant or any associated person to have been involved in a violation of any SEC or CFTC regulation or statute?

Yes No

(3) found the applicant or any associated person to have been a cause of the denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?

Yes No

(4) entered an order against the applicant or any associated person in connection with municipal advisor-related or investment-related activity?

Yes No

(5) imposed a civil money penalty on the applicant or any associated person, or ordered the applicant or any associated person to cease and desist from any activity?

Yes No

D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority ever:

(1) found the applicant or any associated person to have made a false statement or omission, or been dishonest, unfair, or unethical?

Yes No

(2) found the applicant or any associated person to have been involved in a violation of municipal advisor-related or investment-related regulations or statutes?

Yes No

(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation, or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?

Yes No

(4) entered an order against the applicant or any associated person in connection with a municipal advisor-related or investment-related activity?

Yes No

(5) denied, suspended, or revoked the registration or license of the applicant or that of any associated person, or otherwise prevented the applicant or any associated person, by order, from associating with a municipal advisor-related or investment-related business or restricted the activities of the applicant or any associated person?

Yes No

E. Has any self-regulatory organization or commodities exchange ever:

(1) found the applicant or any associated person to have made a false statement or omission?

Yes No

(2) found the applicant or any associated person to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?

Yes No

(3) found the applicant or any associated person to have been the cause of a denial, suspension, revocation or restriction of the authorization of a municipal advisor-related or an investment-related business to operate?

Yes No

(4) disciplined the applicant or any associated person by expelling or suspending the applicant or the associated person from membership, barring or suspending the applicant or the associated person from association with other members, or by otherwise restricting the activities of the applicant or the associated person?

Yes No

F. Revocation or Suspension:

Has the applicant or any associated person ever had an authorization to act as an attorney, accountant, or federal contractor revoked or suspended?

Yes No

G. Regulatory Proceedings:

Is the applicant or any associated person currently the subject of any regulatory proceeding that could result in a "Yes" answer to any part of Item 9-C, 9-D, or 9-E.?

Yes No

Civil Judicial Disclosure

If the answer is "Yes" to a question below, complete a Civil Judicial Action DRP.

Check all that apply.

H. (1) Has any domestic or foreign court ever:

(a) enjoined the applicant or any associated person in connection with any municipal advisor-related or investment-related activity?

Yes No

(b) found that the applicant or any associated person was involved in a violation of any municipal advisor-related or investment-related statute(s) or regulation(s)?

Yes No

(c) dismissed, pursuant to a settlement agreement, a municipal advisor-related or investment-related civil action brought against the applicant or any associated person by a state or other US jurisdiction or a foreign financial regulatory authority?

Yes No

(2) Current Proceedings:

Is the applicant or any associated person the subject of any currently pending civil proceeding that could result in a "Yes" answer to any part of Item 9-H(1)?

Yes No

Item 10 Small Businesses

The SEC is required by the Regulatory Flexibility Act to consider the effect of its regulations on small entities. In order to do this, the SEC needs to determine whether you meet the Small Business Administration's definition of "small business" for purposes of entities that provide investment and related activities. Accordingly, answer "Yes" or "No," as appropriate, to the questions below:

A. Did the applicant have annual receipts of less than $7 million during its most recent fiscal year (or during the time the applicant has been in business, if it has not completed its first fiscal year in business)?

Yes No

B. Is the applicant affiliated with any business or organization that had annual receipts of $7 million or more during its most recent fiscal year (or during the time it has been in business, if it has not completed its first fiscal year in business)?

Yes No

Form MA
APPLICATION FOR MUNICIPAL ADVISOR REGISTRATION

DOMESTIC MUNICIPAL ADVISOR EXECUTION

You must complete the following execution page to Form MA. This execution page must be signed and attached to your initial application for SEC registration and all amendments to registration.

Appointment of Agent for Service of Process

By signing this Form MA, you, the undersigned advisor, irrevocably appoint the Secretary of State or other legally designated officer, of the state in which you maintain your principal office and place of business, as your agents to receive service, and agree that such persons may be served any process, pleadings, subpoenas, or other papers in (a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and (b) any civil suit or action brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States of America or of any of its territories or possessions or of the District of Columbia, where the investigation, proceeding or cause of action arises out of or relates to or concerns municipal advisory activities of the municipal advisor. The applicant stipulates and agrees that any such civil suit or action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

Signature

I, the undersigned, sign this Form MA on behalf of, and with the authority of, the municipal advisor. The municipal advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA as a free and voluntary act.

I certify that the advisor's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or possession of these books and records to make them available to federal regulatory representatives.

Asahi Pompey

Signature:

Date:

Asahi Pompey

Printed Name:

Advisor CRD Number (if any):

Chief Compliance Officer

Title:

FORM MA
APPLICATION FOR "MUNICIPAL ADVISOR REGISTRATION"

NON-RESIDENT MUNICIPAL ADVISOR EXECUTION

Instructions: If you are a non-resident, you must complete these steps:

1. Execution Page: You must complete the following non-resident execution page to Form MA. This execution page must be signed and attached to your initial application for SEC registration and all amendments to registration.

2. Opinion of Counsel: You must also attach to Form MA an Opinion of Counsel. See General Instructions.

3. Form MA-NR: You must also attach to Form MA one or more executed Form MA-NR(s) for the non-resident municipal advisor applicant, and, if any, the non-resident general partner(s) and/or non-resident managing agents. See General Instructions for Form MA-NR.

Non-Resident Municipal Advisor Undertaking Regarding Books and Records

By signing this Form MA, you agree to provide, at your own expense, to the U.S. Securities and Exchange Commission at its principal office in Washington D.C., at any Regional or District Office of the Commission, or at any one of its offices in the United States, as specified by the Commission, correct, current, and complete copies of any or all records that you are required to maintain by law. This undertaking shall be binding upon you, your heirs, successors and assigns, and any person subject to your written irrevocable consents or powers of attorney or any of your general partners and managing agents.

Signature

I, the undersigned, sign this Form MA on behalf of, and with the authority of, the non-resident municipal advisor. The municipal advisor and I both certify, under penalty of perjury under the laws of the United States of America, that the information and statements made in this Form MA, including exhibits and any other information submitted, are true and correct, and that I am signing this Form MA as a free and voluntary act.

I certify that the municipal advisor's books and records will be preserved and available for inspection as required by law. Finally, I authorize any person having custody or possession of these books and records to make them available to federal regulatory representatives. Further, attached to this Form MA as an exhibit is an opinion of counsel that the municipal advisor can, as a matter of law, provide the Commission with access to the books and records of such municipal advisor, as required by law, and that the municipal advisor can, as a matter of law, submit to inspection and examination by the Commission. Finally, attached as an exhibit to this Form MA is one or more executed Form MA-NR(s) for the non-resident municipal advisor applicant, and, if any, the non-resident general partner(s) and/or non-resident managing agents.

Signature:

Date:

Printed Name:

Advisor CRD Number (if any):

Title:

SCHEDULE A
Direct Owners and Executive Officers of the Applicant

1.

Complete Schedule A only if submitting an initial application. Schedule A asks for information about the applicant's direct owners and executive officers. Use Schedule C to amend this information.

Guidance: To determine direct ownership and executive officer status, see instruction 2 below.

Separate subparts of Schedule A must be completed for: (1) direct owners that are business entities, and (2) direct owners and executive officers who are natural persons, as follows:

• Complete Schedule A-1: "Direct Owners of Applicant - Business Entities," for owners that are organized as a business or other legal entity, such as a corporation, partnership, trust, or limited liability company.

• Complete Schedule A-2: "Direct Owners and Executive Officers of Applicant - Natural Persons," for owners who are individuals, including sole proprietors, and for executive officers.

2.

List in either Schedule A-1 or Schedule A-2 below, or both, as applicable, the full names of:

(a) If applicant is organized as a corporation, each shareholder that is a direct owner of 5% or more of a class of the applicant's voting securities, unless applicant is a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act). Direct owners include any person that owns, beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 5% or more of a class of the applicant's voting securities. For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security;

(b) If the applicant is organized as a partnership, all general partners and each limited and special partner that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital;

(c) In the case of a trust, a person that directly owns 5% or more of a class of the applicant's voting securities, or that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital, the trust and each trustee;

(d) If the applicant is organized as a limited liability company ("LLC"), (i) each member that has the right to receive upon dissolution, or has contributed, 5% or more of the applicant's capital, and (ii) if managed by elected managers, all elected managers; and

(e) Each Chief Executive Officer, Chief Financial Officer, Chief Operations Officer, Chief Legal Officer, Chief Compliance Officer, director and any other individuals with similar status or functions (applies in Schedule A-2 only).

3.

In the DE/FE column of Schedule A-1 below, enter "DE" if the owner is a domestic entity, or "FE" if the owner is an entity organized, incorporated or domiciled in a foreign country.

4.

Complete the Title or Status column by entering board/management titles; status as partner, trustee, sole proprietor, elected manager, shareholder, or member. For shareholders or members, indicate the class of securities owned (if more than one is issued). In the next column indicate the date that the title or status was acquired.

5.

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

6.

(a) In the Control Person column, enter "Yes" in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA, and enter "No" if the person does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.

(b) In the PR sub-column (Schedule A-1 only) enter "PR" if the owner is a public reporting company under Section 12 or 15(d) of the Exchange Act.

7.

(a) For Schedule A-1, enter the organization CRD number. If not registered with the CRD, then enter the IRS Tax Number, Employer Identification Number ("EIN"), or Foreign Business Number.

(b) For Schedule A-2, enter the individual CRD number. If not registered with the CRD, then enter 0000000.

8.

Does applicant have any indirect owners to be reported on Schedule B? Yes No

Schedule A-1: Direct Owners of Applicant - Business Entities

BUSINESS ENTITY FULL LEGAL NAME:

THE GOLDMAN SACHS GROUP, INC.

DE/FE: DE FE

Title or Status:

LIMITED PARTNER

Date Title or Status Acquired:

Ownership Code:

NA - less than 5%

B - 10% but less than 25%

D - 50% but less than 75%

A - 5% but less than 10%

C - 25% but less than 50%

E - 75% or more

Control Person: Yes No

PR: Yes No

Organization CRD No. (If None: IRS Tax No., EIN, or Foreign Business No.)

CRD No.:

IRS Tax No.:

EIN:

Foreign Bus. No.:

BUSINESS ENTITY FULL LEGAL NAME:

THE GOLDMAN, SACHS & CO., LLC

DE/FE: DE FE

Title or Status:

GENERAL PARTNER

Date Title or Status Acquired:

Ownership Code:

NA - less than 5%

B - 10% but less than 25%

D - 50% but less than 75%

A - 5% but less than 10%

C - 25% but less than 50%

E - 75% or more

Control Person: Yes No

PR: Yes No

Organization CRD No. (If None: IRS Tax No., EIN, or Foreign Business No.)

CRD No.:

IRS Tax No.:

EIN:

Foreign Bus. No.:

Schedule A-2: Direct Owners and Executive Officers of Applicant – Natural Persons

SCHEDULE B
Indirect Owners of the Applicant

Guidance: To determine indirect ownsership, see instructions 2 and 3 below.

1.

Complete Schedule B only if applicant is submitting an initial application. Schedule B asks for information about the applicant's indirect owners. The applicant must first complete Schedule A, which asks for information about direct owners. For purposes of Schedule B, an "indirect owner" includes any owner of 25% or more of any direct owner listed in Schedule A, and any owner of 25% or more of each such indirect owner going up the chain of ownership. Use Schedule C to amend the information in this schedule.

Separate subparts of Schedule B must be completed for: (1) indirect owners that are business entities, and (2) indirect owners who are natural persons, as follows:

• Complete Schedule B-1: "Indirect Owners of Applicant - Business Entities," for owners who are organized as business or other legal entities, such as a corporation, partnership, trust, or limited liability company.

• Complete Schedule B-2: "Indirect Owners of Applicant - Natural Persons," for individuals and sole proprietors.

2.

With respect to each direct owner listed on Schedule A 1 (business entities), list in either Schedule B-1 or Schedule B-2 below, as applicable:

(a) in the case of a direct owner listed on Schedule A-1 that is a corporation, each of its shareholders that beneficially owns, has the right to vote, or has the power to sell or direct the sale of, 25% or more of a class of a voting security of that corporation;

For purposes of this Schedule, a person beneficially owns any securities: (i) owned by his/her child, stepchild, grandchild, parent, stepparent, grandparent, spouse, sibling, mother-in-law, father-in-law, son-in-law, daughter-in-law, brother-in-law, or sister-in-law, sharing the same residence; or (ii) that he/she has the right to acquire, within 60 days, through the exercise of any option, warrant, or right to purchase the security.

(b) in the case of a direct owner listed on Schedule A-1 that is a partnership, all general partners and each limited and special partner that has the right to receive upon dissolution, or has contributed, 25% or more of the partnership's capital;

(c) in the case of a direct owner listed on Schedule A-1 that is a trust, the trust and each trustee; and

(d) in the case of a direct owner listed on Schedule A-1 that is a limited liability company ("LLC"), (i) each member that has the right to receive upon dissolution, or has contributed, 25% or more of the LLC's capital, and (ii) if managed by elected managers, each elected manager.

3.

Continue up the chain of indirect ownership listing all 25% shareholders at each level. Once a public reporting company (a company subject to Sections 12 or 15(d) of the Exchange Act) is reached, no further ownership information need be given.

4.

In the DE/FE column in Schedule B-1 below, enter "DE" if the indirect owner is a domestic entity, or "FE" if the owner is an entity organized, incorporated or domiciled in a foreign country. Complete the next column by indicating the entity in the chain of ownership in which this indirect owner has an interest.

5.

Complete the Status column by entering the indirect owner's status as partner, trustee, elected manager, shareholder, or member. For shareholders or members, indicate the class of securities owned (if more than one is issued).

6.

Ownership Codes are:

C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more
F - Other (general partner, trustee, or elected manager)

7.

(a) In the Control Person column, enter "Yes" in the first sub-column if the person has control as defined in the Glossary of Terms to Form MA, and enter "No" if the person does not have control. Note that under this definition, most executive officers and all 25% owners, general partners, elected managers, and trustees are control persons.

(b) In the PR sub-column, for Schedule B-1 only, enter "PR" if the indirect owner is a public reporting company under Sections 12 or 15(d) of the Exchange Act.

8.

(a) For Schedule B-1, enter the organization CRD number. If not registered with the CRD, then enter the IRS Tax Number, Employer Identification Number ("EIN"), or Foreign Business Number.

(b) For Schedule B-2, enter the individual CRD number. If not registered with the CRD, then enter 0000000.

Schedule B-1: Indirect Owners of Applicant – Business Entities

Schedule B-2: Indirect Owners of Applicant – Natural Persons

SCHEDULE C
Amendments to Schedules A and B

1.

Use Schedule C only to amend information requested on either Schedule A or Schedule B. Refer to instructions in Schedule A and Schedule B, which also apply for this Schedule C.

2.

In the Type of Amendment column, indicate "A" (addition), "D" (deletion), or "C" (change in information about the same person).

3.

Ownership Codes are:

NA - less than 5%

A - 5% but less than 10%

B - 10% but less than 25%

C - 25% but less than 50%

D - 50% but less than 75%

E - 75% or more

F - Other (general partner, trustee, or elected member)

4. List below all changes to Schedule A:

Schedule A-1: Direct Owners of Applicant - Business Entities

Add Entry

BUSINESS ENTITY FULL LEGAL NAME:

THE GOLDMAN SACHS GROUP, INC.

DE/FE: DE FE

Type of Amendment:

A (addition) D (deletion) C (change in information)

Title or Status:

LIMITED PARTNER

Date Title or Status Acquired:

Ownership Code:

NA-less than 5%

A-5% but less than 10%

B-10% but less than 25%

C - 25% but less than 50%

D-50% but less than 75%

E-75% or more

F - Other (general partner, trustee, or elected manager)

Control person: YES NO

PR: YES NO

Organization CRD No. (If None: IRS Tax No., EIN, or Foreign Business No.)

CRD No.:

IRS Tax No.:

EIN.:

Foreign Bus. No.:

Add Entry

BUSINESS ENTITY FULL LEGAL NAME:

THE GOLDMAN, SACHS & CO., LLC

DE/FE: DE FE

Type of Amendment:

A (addition) D (deletion) C (change in information)

Title or Status:

GENERAL PARTNER

Date Title or Status Acquired:

Ownership Code:

NA-less than 5%

A-5% but less than 10%

B-10% but less than 25%

C - 25% but less than 50%

D-50% but less than 75%

E-75% or more

F - Other (general partner, trustee, or elected manager)

Control person: YES NO

PR: YES NO

Organization CRD No. (If None: IRS Tax No., EIN, or Foreign Business No.)

CRD No.:

IRS Tax No.:

EIN.:

Foreign Bus. No.:

Schedule A-2: Direct Owners and Executive Officers of Applicant – Natural Persons

Schedule B-1: Indirect Owners of Applicant - Business Entities

Schedule B-2: Indirect Owners of Applicant - Natural Persons

SCHEDULE D

Certain items in Part I of Form MA require additional information on Schedule D. Use this Schedule D to report details for items listed below. Report only new information or changes/updates to previously submitted information. Do not repeat previously submitted information.

This is an: INITIAL or AMENDED Schedule D or ANNUAL UPDATE

SECTION 1-B Other Names under which Municipal Advisor-Related Business is Conducted

List the applicant's other business names and the jurisdictions in which they are used. A separate Schedule D must be completed for each business name, and the jurisdictions where that name is used.

SECTION 1-D Additional Registrations of the Applicant

Indicate any additional registrations with federal or state regulators, and the relevant registration number. A separate Schedule D must be completed for each such registration.

Name:
Depository Trust & Clearing Corporation

Registration No.:
FOR8UP27PHTHYVLBNG30

Name:
IRS FACTA

Registration No.:
DTLCMF.00000.SP.840

SECTION 1-E Additional Offices at which the Applicant’s Municipal Advisor-Related Business is Conducted

Provide the location of the largest five additional offices (in terms of numbers of employees) at which the applicant’s municipal advisor-related business is conducted other than applicant’s principal office and place of business. A separate Schedule D must be completed for each such office.

Select only one: AddDelete Amend

Street Address 1:

Street Address 2:

City:

State/Country:

ILLINOIS

Postal Code:

Is this address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

Telephone number at this location:

Fax number (if any) a this location:

Select only one: AddDelete Amend

Street Address 1:

Street Address 2:

City:

State/Country:

TEXAS

Postal Code:

Is this address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

Telephone number at this location:

Fax number (if any) a this location:

Select only one: AddDelete Amend

Street Address 1:

Street Address 2:

City:

State/Country:

CALIFORNIA

Postal Code:

Is this address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

Telephone number at this location:

Fax number (if any) a this location:

Select only one: AddDelete Amend

Street Address 1:

Street Address 2:

City:

State/Country:

CALIFORNIA

Postal Code:

Is this address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

Telephone number at this location:

Fax number (if any) a this location:

Select only one: AddDelete Amend

Street Address 1:

Street Address 2:

City:

State/Country:

WASHINGTON

Postal Code:

Is this address a private residence?

A private residential address will not be included in publicly available versions of this registration form.

Telephone number at this location:

Fax number (if any) a this location:

SECTION 1-F Additional Website Addresses

List any additional website addresses of the applicant. A separate Schedule D must be completed for each such website address.

Select only one: Add Delete Amend

Website Address:
https://www.360.gs.com

SECTION 1-I Location of Books and Records

Complete the following information for each location at which the applicant keeps books and records, other than its principal office and place of business. A separate Schedule D must be completed for each location.

Select only one: AddDelete Amend

Name of entity where books and records are kept:
GOLDMAN, SACHS & CO.

Street Address 1:

Street Address 2:

City:

State/Country:

ILLINOIS

Postal Code:

Is this address a private residence?

Telephone number at this location:

Fax number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

This is (Select only one):

one of applicant’s branch offices or affiliates.

a third-party unaffiliated record keeper.

Other

Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).

Certain books and records.

Select only one: AddDelete Amend

Name of entity where books and records are kept:
GOLDMAN, SACHS & CO.

Street Address 1:

Street Address 2:

City:

State/Country:

TEXAS

Postal Code:

Is this address a private residence?

Telephone number at this location:

Fax number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

This is (Select only one):

one of applicant’s branch offices or affiliates.

a third-party unaffiliated record keeper.

Other

Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).

Certain books and records.

Select only one: AddDelete Amend

Name of entity where books and records are kept:
GOLDMAN, SACHS & CO.

Street Address 1:

Street Address 2:

City:

State/Country:

CALIFORNIA

Postal Code:

Is this address a private residence?

Telephone number at this location:

Fax number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

This is (Select only one):

one of applicant’s branch offices or affiliates.

a third-party unaffiliated record keeper.

Other

Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).

Certain books and records.

Select only one: AddDelete Amend

Name of entity where books and records are kept:
GOLDMAN, SACHS & CO.

Street Address 1:

Street Address 2:

City:

State/Country:

CALIFORNIA

Postal Code:

Is this address a private residence?

Telephone number at this location:

Fax number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

This is (Select only one):

one of applicant’s branch offices or affiliates.

a third-party unaffiliated record keeper.

Other

Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).

Certain books and records.

Select only one: AddDelete Amend

Name of entity where books and records are kept:
GOLDMAN, SACHS & CO.

Street Address 1:

Street Address 2:

City:

State/Country:

WASHINGTON

Postal Code:

Is this address a private residence?

Telephone number at this location:

Fax number (if any) at this location:

For non-US telephone and fax numbers, include country code with area code and local number.

This is (Select only one):

one of applicant’s branch offices or affiliates.

a third-party unaffiliated record keeper.

Other

Briefly describe the books and records kept at the location(s) you checked. If you checked “other,” describe additionally all such location(s).

Certain books and records.

SECTION 1-J Registration with Foreign Financial Regulatory Authorities

List the full name, in English, of each foreign financial regulatory authority, provide the foreign registration number (if any), and list the full name, in English, of the country with which the applicant is registered. A separate Schedule D must be completed for each foreign financial regulatory authority with whom the applicant is registered.

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
ALBERTA SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
AUTORITE DES MARCHES FINANCIERS (QUEBEC)

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
BRITISH COLUMBIA SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
MANITOBA SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
MONTREAL STOCK EXCHANGE

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
NEW BRUNSWICK SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
NOVA SCOTIA SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
ONTARIO SECURITIES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
PRINCE EDWARD ISLAND OFFICE OF SUPERINTENDENT OF SECURITIES

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SASKATCHEWAN FINANCIAL SERVICES COMMISSION

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SERVICE NL, NEWFOUNDLAND AND LABRADOR

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
YUKON TERRITORY OFFICE OF SUPERINTENDENT OF SECURITIES

Foreign Registration No. (if any):
1580

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
CHINA SECURITIES REGULATORY COMMISSION

Foreign Registration No. (if any):
QF2003NAS005

English Name of Country:

CHINA

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
THE CENTRAL BANK OF REPUBLIC OF CHINA (TAIWAN)

Foreign Registration No. (if any):
F24010002

English Name of Country:

CHINA

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SECURITIES AND FUTURES BUREAU, FINANCIAL SUPERVISORY COMMISSION, EXECUTIVE YUAN (TAIWAN)

Foreign Registration No. (if any):
F24010002

English Name of Country:

CHINA

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SECURITIES AND EXCHANGE BOARD OF INDIA

Foreign Registration No. (if any):
NUSFA022094

English Name of Country:

INDIA

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SUPERINTENDENCIA FINANCIERA DE COLOMBIA

Foreign Registration No. (if any):

English Name of Country:

COLOMBIA

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
SWISS FEDERAL BANKING COMMISSION

Foreign Registration No. (if any):

English Name of Country:

SWITZERLAND

Select only one: AddDelete Amend

English Name of Foreign Financial Regulatory Authority:
DUBAI FINANCIAL SERVICES AUTHORITY

Foreign Registration No. (if any):
F000532

English Name of Country:

UNITED ARAB EMIRATES

SECTION 1-K Business Affiliates of the Applicant

Provide the name of any domestic or foreign business affiliate of the applicant and any federal, state, or foreign registration of such affiliate and the registration number. A separate Schedule D must be completed for each such affiliate.

Name of Affiliate:
THE GOLDMAN SACHS GROUP, INC.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Federal Reserve Board; Federal Deposit Insurance Corporation; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
THE GOLDMAN, SACHS & CO., L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (UK) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS GROUP UK LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS GROUP HOLDINGS (U.K.) LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS INTERNATIONAL BANK

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

UNITED KINGDOM

Name of Affiliate:
GOLDMAN SACHS HOLDINGS (U.K.)

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS INTERNATIONAL

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Conduct Authority; Prudential Regulation Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

UNITED KINGDOM

Name of Affiliate:
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Conduct Authority; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

UNITED KINGDOM

Name of Affiliate:
FORRES L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
FORRES INVESTMENTS LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
KPL FINANCE LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ROTHESAY LIFE (CAYMAN) LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS GLOBAL HOLDINGS L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS ASIAN VENTURE (DELAWARE) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS HONY HOLDINGS I LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS (ASIA) L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (JAPAN) LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS JAPAN CO., LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Services Agency; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

JAPAN

Name of Affiliate:
MLT INVESTMENTS LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

MAURITIUS

Name of Affiliate:
GOLDMAN SACHS STRATEGIC INVESTMENTS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
J. ARON HOLDINGS, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
J. ARON & COMPANY

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS ASSET MANAGEMENT, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (CAYMAN) HOLDING COMPANY

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (ASIA) CORPORATE HOLDINGS L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS HOLDINGS (HONG KONG) LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (ASIA) FINANCE

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

MAURITIUS

Name of Affiliate:
GOLDMAN SACHS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
China Securities Regulatory Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

CHINA

Name of Affiliate:
GOLDMAN SACHS FOREIGN EXCHANGE (SINGAPORE) PTE

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
J. ARON & COMPANY (SINGAPORE) PTE

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS MEHETIA LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
MEHETIA HOLDINGS INC.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS HOLDINGS (DELAWARE) L.L.C. II

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS LENDING PARTNERS HOLDINGS LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS LENDING PARTNERS LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS BANK USA

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Commodity Futures Trading Commission; Consumer Financial Protection Bureau; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS MORTGAGE COMPANY

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Housing and Urban Development; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS CREDIT PARTNERS L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS EXECUTION & CLEARING, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Commodity Futures Trading Commission; Financial Industry Regulatory Authority; Securities and Exchange Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FINANCIAL SERVICES II, LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FUNDING EUROPE

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FUNDING EUROPE I LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FUNDING EUROPE II LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS INVESTMENT STRATEGIES, LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Securities and Exchange Commission; Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS POWER HOLDINGS LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
MITSI HOLDINGS LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
METRO INTERNATIONAL TRADE SERVICES LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
MLQ INVESTORS, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
AR HOLDINGS (DELAWARE) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
AR HOLDINGS GK

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
SH WHITE FLOWER

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GK FRANGIPANI

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS PIA HOLDINGS GK

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
CRANE HOLDINGS LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Kanto Financial Bureau; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

JAPAN

Name of Affiliate:
GS TK HOLDINGS II GK

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ELQ HOLDINGS (DEL) LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ELQ HOLDINGS (UK) LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ELQ INVESTORS II LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS SPECIALTY LENDING HOLDINGS, INC.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS HOLDINGS ANZ PTY LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS HLDGS ANZ II PTY LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS AUSTRALIA GROUP HOLDINGS PTY LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

AUSTRALIA

Name of Affiliate:
GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

AUSTRALIA

Name of Affiliate:
GOLDMAN SACHS AUSTRALIA PTY LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Australian Securities & Investments Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

AUSTRALIA

Name of Affiliate:
GOLDMAN SACHS FINANCIAL MARKETS PTY LTD

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Commodity Futures Trading Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FUND HOLDINGS, L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
SHOELANE, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
WHITEHALL STREET GLOBAL REAL ESTATE EMPLOYEE MASTER FUND 2007, L.P.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS FINANCIAL SERVICES L.P. (DEL)

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
JLQ LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Tokyo Metropolitan Government; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

JAPAN

Name of Affiliate:
JUPITER INVESTMENT CO., LTD.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GS DIRECT, L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GSIP HOLDCO A LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
SPECIAL SITUATIONS INVESTING GROUP II, LLC

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
MTGRP, L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ARCHON INTERNATIONAL, INC.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ARCHON CAPITAL BANK DEUTSCHLAND GMBH

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
ARCHON GROUP EUROPE GMBH

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):

(b) Registration No., if any:

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

Name of Affiliate:
GOLDMAN SACHS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Services Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

MAURITIUS

Name of Affiliate:
GOLDMAN SACHS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Financial Supervisory Service; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

KOREA, REPUBLIC OF

Name of Affiliate:
GOLDMAN SACHS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Hong Kong Securities & Futures Commission; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

HONG KONG

Name of Affiliate:
GOLDMAN SACHS (ASIA) L.L.C.

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
Securities and Futures Bureau, Financial Supervisory Co; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

Foreign Country Name (in English):
(specify):

TAIWAN, PROVINCE OF CHINA

Name of Affiliate:
GOLDMAN SACHS BANK USA

1. Does the affiliate have an applicable federal, state, or foreign registration?

Yes No

2. Provide the following details:

(a) Name of Agency Issuing Registration (in English):
New York State Department of Financial Services; Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(b) Registration No., if any:
Please see Schedule D for a discussion of applicable registrations for the Specified Affiliates (as defined in Schedule D) listed in Item 1.K

(c) Provide the jurisdiction (check the appropriate box and if a US state or other jurisdiction, or a foreign country, provide the name of the jurisdiction):

US Federal

US State or Other US Jurisdiction:
(specify):

NEW YORK

Foreign Country Name (in English):
(specify):

SECTION 3 Successions

Complete the following information if succeeding to the business of a currently-registered municipal advisor. If the applicant succeeded more than one municipal advisory firm in the succession being reported on this Form MA, a separate Schedule D must be completed for each predecessor firm. See Instruction 1 of the Specific Instructions for Certain Items in Form MA included in the General Instructions.

SECTION 4-D Firms and Other Persons that Solicit Municipal Advisor Clients on the Applicant’s Behalf

Provide the name, address, and phone number of any firm or other person that is not otherwise an associated person of the applicant that solicits municipal advisor clients on the applicant’s behalf. A separate Schedule D must be completed for each such firm or natural person.

SECTION 4-E Employees That Also Do Business Independently on the Applicant’s Behalf as Affiliates of the Applicant

SECTION 5-B Description of Primary Business (for businesses not listed in Part A of Item 5)

If you checked Item 5-B.2 describe the applicant’s primary business (not the applicant’s municipal advisor-related business):

SECTION 6 Financial Industry and Other Activities of Associated Persons

The following information must be completed for each associated person in every category you checked in Item 6-A. A separate Schedule D must be completed for each such associated person.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Alberta Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

British Columbia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Ontario Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Quebec, Financial Markets Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

China Securities Regulatory Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CHINA

English Name of Foreign Financial Regulatory Authority:

Financial Services Board

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SOUTH AFRICA

English Name of Foreign Financial Regulatory Authority:

Financial Supervisory Commission / Financial Supervisory Service

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

Financial Supervisory Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

TAIWAN, PROVINCE OF CHINA

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (ASIA) L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS (ASIA) L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

English Name of Foreign Financial Regulatory Authority:

China Securities Regulatory Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CHINA

English Name of Foreign Financial Regulatory Authority:

Securities and Futures Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

HONG KONG

English Name of Foreign Financial Regulatory Authority:

FINANCIAL SUPERVISORY COMMISSION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

KOREA FINANCIAL INVESTMENT ASSOCIATION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

KOREA EXCHANGE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

KOREA MINISTRY OF STRATEGY AND FINANCE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

DEPOSITORY & CLEARING CORPORATION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

TAIWAN, PROVINCE OF CHINA

English Name of Foreign Financial Regulatory Authority:

GRETAI SECURITIES MARKET

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

TAIWAN, PROVINCE OF CHINA

English Name of Foreign Financial Regulatory Authority:

TAIWAN SECURITIES ASSOCIATION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

TAIWAN, PROVINCE OF CHINA

English Name of Foreign Financial Regulatory Authority:

TAIWAN STOCK EXCHANGE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

TAIWAN, PROVINCE OF CHINA

English Name of Foreign Financial Regulatory Authority:

Financial Supervisory Commission / Financial Supervisory Service

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

THAILAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (SINGAPORE) PTE

Primary Business Name of Associated Person:
GOLDMAN SACHS (SINGAPORE) PTE

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

English Name of Foreign Financial Regulatory Authority:

Monetary Authority of Singapore

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SINGAPORE

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS HEDGE FUND STRATEGIES LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Alberta Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

British Columbia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Ontario Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Quebec, Financial Markets Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT, L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Alberta Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

British Columbia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Manitoba Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Ontario Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Saskatchewan Financial Services Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

FINANCIAL MARKETS AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Board of India

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS INTERNATIONAL

Primary Business Name of Associated Person:
GOLDMAN SACHS INTERNATIONAL

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

English Name of Foreign Financial Regulatory Authority:

Alberta Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

British Columbia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Manitoba Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

New Brunswick Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Nova Scotia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Ontario Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Saskatchewan Financial Services Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

German Federal Financial Supervisory Agency

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

GERMANY

English Name of Foreign Financial Regulatory Authority:

National Stock Exchange Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

ITALY

English Name of Foreign Financial Regulatory Authority:

The Netherlands Authority for the Financial Markets

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NETHERLANDS

English Name of Foreign Financial Regulatory Authority:

AUTORITE MARCHE FINANCIERS - QUEBEC

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

AGENCE FRANCE TRESOR

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

FRANCE

English Name of Foreign Financial Regulatory Authority:

THE IRISH PANEL ON TAKEOVER AND MERGERS (ITP)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

IRELAND

English Name of Foreign Financial Regulatory Authority:

POLISH FINANCIAL SUPERVISORY AUTHORITY (KNF)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

POLAND

English Name of Foreign Financial Regulatory Authority:

QATAR FINANCIAL CENTRE REGULATORY AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

QATAR

English Name of Foreign Financial Regulatory Authority:

DUBAI FINANCIAL SERVICES AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED ARAB EMIRATES

English Name of Foreign Financial Regulatory Authority:

THE PANEL ON TAKEOVER AND MERGERS (LTP)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

English Name of Foreign Financial Regulatory Authority:

Financial Services Board

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SOUTH AFRICA

English Name of Foreign Financial Regulatory Authority:

National Commission of Securities Markets

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SPAIN

English Name of Foreign Financial Regulatory Authority:

Swedish Financial Supervisory Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SWEDEN

English Name of Foreign Financial Regulatory Authority:

Swiss Financial Market Supervisory Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SWITZERLAND

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS JAPAN CO., LTD.

Primary Business Name of Associated Person:
GOLDMAN SACHS JAPAN CO., LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

BANK OF JAPAN

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

FINANCIAL FUTURES ASSOCIATION OF JAPAN

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

KANTO FINANCIAL BUREAU

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

MINISTRY OF ECONOMY, TRADE AND INDUSTRY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

MINISTRY OF FINANCE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

TOKYO METROPOLITAN GOVERNMENT

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS FINANCIAL MARKETS PTY LTD.

Primary Business Name of Associated Person:
GOLDMAN SACHS FINANCIAL MARKETS PTY LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

English Name of Foreign Financial Regulatory Authority:

AUSTRALIAN TRANSACTION REPORTS AND ANALYSIS CENTRE (AUSTRAC)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
THE AYCO SERVICES AGENCY, L.P.

Primary Business Name of Associated Person:
THE AYCO SERVICES AGENCY, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
THE AYCO SERVICES INSURANCE AGENCY, INC.

Primary Business Name of Associated Person:
THE AYCO SERVICES INSURANCE AGENCY, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (MONACO) S.A.M.

Primary Business Name of Associated Person:
GOLDMAN SACHS (MONACO) S.A.M.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

COMMISSION DE CONTROLE DES ACTIVITIES FINANCIERES

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

MONACO

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AG

Primary Business Name of Associated Person:
GOLDMAN SACHS AG

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

German Federal Financial Supervisory Agency

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

GERMANY

English Name of Foreign Financial Regulatory Authority:

DEUTSCHE BUNDESBANK

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

GERMANY

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS BANK AG

Primary Business Name of Associated Person:
GOLDMAN SACHS BANK AG

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

SWISS BANKERS ASSOCIATION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SWITZERLAND

English Name of Foreign Financial Regulatory Authority:

SWISS FEDERAL BANKING COMMISSION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SWITZERLAND

English Name of Foreign Financial Regulatory Authority:

SWISS NATIONAL BANK

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SWITZERLAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS BANK USA

Primary Business Name of Associated Person:
GOLDMAN SACHS BANK USA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

English Name of Foreign Financial Regulatory Authority:

Prudential Regulation Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS CANADA INC.

Primary Business Name of Associated Person:
GOLDMAN SACHS CANADA INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A.

Primary Business Name of Associated Person:
GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

English Name of Foreign Financial Regulatory Authority:

ANBIMA

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

English Name of Foreign Financial Regulatory Authority:

BACEN

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS EXECUTION & CLEARING, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

The Netherlands Authority for the Financial Markets

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NETHERLANDS

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS FINANCIAL MARKETS, L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS FINANCIAL MARKETS, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS GESTION S.G.I.I.C. S.A

Primary Business Name of Associated Person:
GOLDMAN SACHS GESTION S.G.I.I.C. S.A

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

National Commission of Securities Markets

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SPAIN

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS PARIS INC. ET CIE

Primary Business Name of Associated Person:
GOLDMAN SACHS PARIS INC. ET CIE

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Markets Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

FRANCE

English Name of Foreign Financial Regulatory Authority:

PRUDENTIAL CONTROL AND RESOLUTION AUTHORITY (ACPR)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

FRANCE

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AUSTRALIA PTY LTD

Primary Business Name of Associated Person:
GOLDMAN SACHS AUSTRALIA PTY LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS SAUDI ARABIA

Primary Business Name of Associated Person:
GOLDMAN SACHS SAUDI ARABIA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

CAPITAL MARKET AUTHORITY OF SAUDI ARABIA

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SAUDI ARABIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS TRUST COMPANY OF DELAWARE

Primary Business Name of Associated Person:
GOLDMAN SACHS TRUST COMPANY OF DELAWARE

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INVESTMENT STRATEGIES, LLC

Primary Business Name of Associated Person:
GS INVESTMENT STRATEGIES, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Alberta Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

British Columbia Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Ontario Securities Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

English Name of Foreign Financial Regulatory Authority:

Quebec, Financial Markets Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CANADA (FEDERAL LEVEL)

Select only one: AddDelete Amend

Legal Name of Associated Person:
MERCER ALLIED COMPANY, L.P.

Primary Business Name of Associated Person:
MERCER ALLIED COMPANY, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
THE AYCO COMPANY,L.P.

Primary Business Name of Associated Person:
THE AYCO COMPANY,L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION

Primary Business Name of Associated Person:
THE GOLDMAN SACHS TRUST COMPANY, NATIONAL ASSOCIATION

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
AWH GLOBAL GEN-PAR, L.L.C.

Primary Business Name of Associated Person:
AWH GLOBAL GEN-PAR, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET 1996, L.L.C.

Primary Business Name of Associated Person:
STONE STREET 1996, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET 1997 REALTY, L.L.C.

Primary Business Name of Associated Person:
STONE STREET 1997 REALTY, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET 1998 REALTY, L.L.C.

Primary Business Name of Associated Person:
STONE STREET 1998 REALTY, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CARIBBEAN FUND GEN-PAR 2005, LLC

Primary Business Name of Associated Person:
CARIBBEAN FUND GEN-PAR 2005, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY) GP, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (US) GP, LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (US) GP, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE FUND GP, L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE FUND GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INFRASTRUCTURE PARTNERS I EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS INFRASTRUCTURE PARTNERS I EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INFRASTRUCTURE ADVISORS 2006, L.L.C.

Primary Business Name of Associated Person:
GS INFRASTRUCTURE ADVISORS 2006, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INFRASTRUCTURE ADVISORS 2008, L.L.C.

Primary Business Name of Associated Person:
GS INFRASTRUCTURE ADVISORS 2008, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD.

Primary Business Name of Associated Person:
GS INTERNATIONAL INFRASTRUCTURE ADVISORS 2008, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS OPPORTUNITY ADVISORS, LTD.

Primary Business Name of Associated Person:
GS OPPORTUNITY ADVISORS, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS OPPORTUNITY ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS OPPORTUNITY ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD.

Primary Business Name of Associated Person:
OPPORTUNITY PARTNERS OFFSHORE-B CO-INVEST AIV ADVISORS, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN, SACHS MANAGEMENT GP GMBH

Primary Business Name of Associated Person:
GOLDMAN, SACHS MANAGEMENT GP GMBH

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS 2000, L.L.C.

Primary Business Name of Associated Person:
GS ADVISORS 2000, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSCP III MANAGING PARTNER AG & CO. KG

Primary Business Name of Associated Person:
GSCP III MANAGING PARTNER AG & CO. KG

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS III, L.L.C.

Primary Business Name of Associated Person:
GS ADVISORS III, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS V, L.L.C.

Primary Business Name of Associated Person:
GS ADVISORS V, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS V AIV, LTD.

Primary Business Name of Associated Person:
GS ADVISORS V AIV, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS CAPITAL PARTNERS VI EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CAPITAL PARTNERS VI GMBH & CO. KG

Primary Business Name of Associated Person:
GS CAPITAL PARTNERS VI GMBH & CO. KG

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS VI, L.L.C.

Primary Business Name of Associated Person:
GS ADVISORS VI, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ADVISORS VI AIV, LTD.

Primary Business Name of Associated Person:
GS ADVISORS VI AIV, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LOAN PARTNERS I EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS LOAN PARTNERS I EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD.

Primary Business Name of Associated Person:
GS LOAN PARTNERS I OFFSHORE ADVISORS B, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD.

Primary Business Name of Associated Person:
GS LOAN PARTNERS I OFFSHORE ADVISORS C, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LOAN PARTNERS I ONSHORE ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS LOAN PARTNERS I ONSHORE ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LOAN PARTNERS I ADVISORS, LTD.

Primary Business Name of Associated Person:
GS LOAN PARTNERS I ADVISORS, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE ADVISORS 2006, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE ADVISORS 2006, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE ADVISORS II, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE ADVISORS II, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE ADVISORS III, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE ADVISORS III, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS V EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS V INSTITUTIONAL FUND, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS V INSTITUTIONAL FUND, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE ADVISORS V, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE ADVISORS V, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS V OFFSHORE FUND, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS V OFFSHORE FUND, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS V ONSHORE FUND, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS V ONSHORE FUND, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (CAYMAN) GP, L.L.C.

Primary Business Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (CAYMAN) GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (CORPORATE) GP, L.L.C.

Primary Business Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (CORPORATE) GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (TREATY) GP, LTD.

Primary Business Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (TREATY) GP, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (U.S.) GP, L.L.C.

Primary Business Name of Associated Person:
GS REAL ESTATE MEZZANINE PARTNERS (U.S.) GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS REAL ESTATE MEZZANINE PARTNERS PMD FUNDS G.P., L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS REAL ESTATE MEZZANINE PARTNERS PMD FUNDS G.P., L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS REAL ESTATE ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
W2007 FINANCE SUB, LLC

Primary Business Name of Associated Person:
W2007 FINANCE SUB, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSPX CARRIX LLC

Primary Business Name of Associated Person:
GSPX CARRIX LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
AUGUSTA ADVISORS, L.L.C

Primary Business Name of Associated Person:
AUGUSTA ADVISORS, L.L.C

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS BMET OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GS BMET OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS BMET ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS BMET ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CABLE ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS CABLE ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS DGC OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GS DGC OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS DGC ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS DGC ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS EDMC ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS EDMC ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS ISS ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS ISS ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS KMI ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS KMI ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS TXU OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GS TXU OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS TXU ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS TXU ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS YES INVESTORS ADVISORS, L.L.C

Primary Business Name of Associated Person:
GOLDMAN SACHS YES INVESTORS ADVISORS, L.L.C

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LVB ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS LVB ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSCP EXPRO ADVISORS OFFSHORE, INC.

Primary Business Name of Associated Person:
GSCP EXPRO ADVISORS OFFSHORE, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSCP KMI OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GSCP KMI OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSCP KMI ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GSCP KMI ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET REALTY 2000, L.L.C.

Primary Business Name of Associated Person:
STONE STREET REALTY 2000, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. XI

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. XI

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. XIII

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. XIII

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. XIII

Primary Business Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. XIII

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. VII

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. VII

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. VIII

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. VIII

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. IX

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. IX

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. X

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. X

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. 2001

Primary Business Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. 2001

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. 2001

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. 2001

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2001

Primary Business Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2001

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. 2005

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. 2005

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2005 GP, L.L.C.

Primary Business Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2005 GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2005

Primary Business Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2005

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C.

Primary Business Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2007 GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. 2007

Primary Business Name of Associated Person:
WH PARALLEL ADVISORS, L.L.C. 2007

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH ADVISORS, L.L.C. 2007

Primary Business Name of Associated Person:
WH ADVISORS, L.L.C. 2007

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2008 GP, L.L.C.

Primary Business Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2008 GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH INTERNATIONAL (LUX INVESTOR) ADVISORS, L.L.C. 2008

Primary Business Name of Associated Person:
WH INTERNATIONAL (LUX INVESTOR) ADVISORS, L.L.C. 2008

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2008

Primary Business Name of Associated Person:
WH INTERNATIONAL ADVISORS, L.L.C. 2008

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
MBD 2011 OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
MBD 2011 OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS CAPITAL PARTNERS V-I GP, L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS CAPITAL PARTNERS V-I GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET 2012 ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BRIDGE STREET 2012 ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET 2012 OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
BRIDGE STREET 2012 OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
AWH EMPLOYEE GEN-PAR, L.L.C.

Primary Business Name of Associated Person:
AWH EMPLOYEE GEN-PAR, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH

Primary Business Name of Associated Person:
GOLDMAN SACHS REAL ESTATE ADVISORS GERMANY GMBH

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL PARALLEL GLOBAL REAL ESTATE LIMITED PARTNERSHIP 2007

Primary Business Name of Associated Person:
WHITEHALL PARALLEL GLOBAL REAL ESTATE LIMITED PARTNERSHIP 2007

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET (BEIJING) INVESTMENT MANAGEMENT CENTRE (LIMITED PARTNERSHIP)

Primary Business Name of Associated Person:
BROAD STREET (BEIJING) INVESTMENT MANAGEMENT CENTRE (LIMITED PARTNERSHIP)

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CAPITAL PARTNERS V EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS CAPITAL PARTNERS V EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS REALTY MANAGEMENT, L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS REALTY MANAGEMENT, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS LUX MANAGEMENT SERVICES S.A R.L.

Primary Business Name of Associated Person:
GS LUX MANAGEMENT SERVICES S.A R.L.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
J. ARON & COMPANY

Primary Business Name of Associated Person:
J. ARON & COMPANY

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL MANAGEMENT SERVICES B.V.

Primary Business Name of Associated Person:
WHITEHALL MANAGEMENT SERVICES B.V.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS (INDIA) SECURITIES PRIVATE LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Board of India

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

English Name of Foreign Financial Regulatory Authority:

NATIONAL STOCK EXCHANGE OF INDIA LIMITED

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
BLUE DAISY TK

Primary Business Name of Associated Person:
BLUE DAISY TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CAPITAL ELEMENTS TK

Primary Business Name of Associated Person:
CAPITAL ELEMENTS TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
ENDEAVOR PRIVATE FUND TK

Primary Business Name of Associated Person:
ENDEAVOR PRIVATE FUND TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
JAPAN HOTEL ALLIANCE TK

Primary Business Name of Associated Person:
JAPAN HOTEL ALLIANCE TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
K.K. OKINAWA UMINOSONO

Primary Business Name of Associated Person:
K.K. OKINAWA UMINOSONO

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
KAWASAKI HOLDINGS TK

Primary Business Name of Associated Person:
KAWASAKI HOLDINGS TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
KEISEN KAIHATSU TK

Primary Business Name of Associated Person:
KEISEN KAIHATSU TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
KINMIRAI CREATE TK

Primary Business Name of Associated Person:
KINMIRAI CREATE TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
NORTH LAND TK

Primary Business Name of Associated Person:
NORTH LAND TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
TAKASU TK

Primary Business Name of Associated Person:
TAKASU TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
TE CAPITAL TK

Primary Business Name of Associated Person:
TE CAPITAL TK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GK IZUMO CAPITAL

Primary Business Name of Associated Person:
GK IZUMO CAPITAL

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GK JUPITER INVESTMENT II

Primary Business Name of Associated Person:
GK JUPITER INVESTMENT II

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GK MISHIMA CAPITAL

Primary Business Name of Associated Person:
GK MISHIMA CAPITAL

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GK SHIROKAWA

Primary Business Name of Associated Person:
GK SHIROKAWA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GK TERAMACHI CAPITAL

Primary Business Name of Associated Person:
GK TERAMACHI CAPITAL

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CRANE HOLDINGS LTD.

Primary Business Name of Associated Person:
CRANE HOLDINGS LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS TK HOLDINGS II GK

Primary Business Name of Associated Person:
GS TK HOLDINGS II GK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS TK HOLDINGS IV GK

Primary Business Name of Associated Person:
GS TK HOLDINGS IV GK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
THE GOLDMAN SACHS GROUP, INC.

Primary Business Name of Associated Person:
THE GOLDMAN SACHS GROUP, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
REDI GLOBAL TECHNOLOGIES LLC

Primary Business Name of Associated Person:
REDI GLOBAL TECHNOLOGIES LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS GLOBAL ADVISORY PRODUCTS LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AUSTRALIA MANAGED FUNDS LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS AUSTRALIA MANAGED FUNDS LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSAM (GMS CAYMAN GP) LTD.

Primary Business Name of Associated Person:
GSAM (GMS CAYMAN GP) LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
SHAREHOLDER - GS INVESTMENT PARTNERS (MAURITIUS) I LIMITED

Primary Business Name of Associated Person:
SHAREHOLDER - GS INVESTMENT PARTNERS (MAURITIUS) I LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS MUTLI-STRATEGY FUND PALMETTO STATE ADVSIORS, L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS MUTLI-STRATEGY FUND PALMETTO STATE ADVSIORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
LIBERTY HARBOR DISTRESSED CREDIT

Primary Business Name of Associated Person:
LIBERTY HARBOR DISTRESSED CREDIT

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS CONVERTIBLE OPPORTUNITIES GP, LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS CONVERTIBLE OPPORTUNITIES GP, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS JRVR OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GS JRVR OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MBEYE ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS MBEYE ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS MERCHANT BANKING ACCESS 2006 ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CONCENTRATED ENERGY OFFSHORE HOLDINGS ADVISORS, INC.

Primary Business Name of Associated Person:
GS CONCENTRATED ENERGY OFFSHORE HOLDINGS ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CONCENTRATED ENERGY OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
GS CONCENTRATED ENERGY OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS CONCENTRATED ENERGY ADVISORS, L.L.C.

Primary Business Name of Associated Person:
GS CONCENTRATED ENERGY ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS INVESTMENT ADVISORY KOREA CO., LTD.

Primary Business Name of Associated Person:
GOLDMAN SACHS INVESTMENT ADVISORY KOREA CO., LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Supervisory Commission / Financial Supervisory Service

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

KOREA, REPUBLIC OF

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (LABUAN) INVESTMENT BANK LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS (LABUAN) INVESTMENT BANK LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

LABUAN OFFSHORE FINANCIAL SERVICES AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

MALAYSIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET ENERGY ADVISORS AIV-1, L.L.C.

Primary Business Name of Associated Person:
BROAD STREET ENERGY ADVISORS AIV-1, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET ENERGY ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BROAD STREET ENERGY ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS BROAD STREET (BEIJING) EQUITY INVESTMENT MANAGEMENT CO., LTD.

Primary Business Name of Associated Person:
GOLDMAN SACHS BROAD STREET (BEIJING) EQUITY INVESTMENT MANAGEMENT CO., LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
KALORAMA GP, L.L.C.

Primary Business Name of Associated Person:
KALORAMA GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
SATURN FUND ADVISORS, INC.

Primary Business Name of Associated Person:
SATURN FUND ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
SHOELANE GP, L.L.C.

Primary Business Name of Associated Person:
SHOELANE GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS SERVICES LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS SERVICES LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS GLOBAL SERVICES II LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS GLOBAL SERVICES II LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET 1999 REALTY, L.L.C.

Primary Business Name of Associated Person:
STONE STREET 1999 REALTY, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET 2011 OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
BRIDGE STREET 2011 OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET 2011 ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BRIDGE STREET 2011 ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS EMPLOYEE FUNDS 2000 GP, L.L.C.

Primary Business Name of Associated Person:
GS EMPLOYEE FUNDS 2000 GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET SPECIAL OPPORTUNITIES 2000, L.L.C.

Primary Business Name of Associated Person:
BRIDGE STREET SPECIAL OPPORTUNITIES 2000, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS EMPLOYEE FUNDS 2000 OFFSHORE GP, L.L.C.

Primary Business Name of Associated Person:
GS EMPLOYEE FUNDS 2000 OFFSHORE GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS REAL ESTATE PARTNERS EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS REAL ESTATE PARTNERS EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
MBD 2011 ADVISORS, L.L.C.

Primary Business Name of Associated Person:
MBD 2011 ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS 2006 EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS 2006 EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS MEZZANINE PARTNERS III EMPLOYEE FUNDS GP, L.L.C.

Primary Business Name of Associated Person:
GS MEZZANINE PARTNERS III EMPLOYEE FUNDS GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GUARD CONTROL PMD GP, L.L.C.

Primary Business Name of Associated Person:
GUARD CONTROL PMD GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
STONE STREET 2000, L.L.C.

Primary Business Name of Associated Person:
STONE STREET 2000, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CIP 2011 PARTNERS OFFSHORE ADVISORS, INC.

Primary Business Name of Associated Person:
CIP 2011 PARTNERS OFFSHORE ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CIP 2011 PARTNERS ADVISORS, L.L.C.

Primary Business Name of Associated Person:
CIP 2011 PARTNERS ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2001 GP, L.L.C.

Primary Business Name of Associated Person:
WHITEHALL STREET EMPLOYEE FUNDS 2001 GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS RENEWABLE HOLDINGS GK

Primary Business Name of Associated Person:
GS RENEWABLE HOLDINGS GK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE COMPANY

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE COMPANY

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
ARROW REINSURANCE COMPANY, LIMITED

Primary Business Name of Associated Person:
ARROW REINSURANCE COMPANY, LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

BERMUDA MINISTRY OF FINANCE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BERMUDA

Select only one: AddDelete Amend

Legal Name of Associated Person:
CATUMNAL NOMINEES PTY LTD.

Primary Business Name of Associated Person:
CATUMNAL NOMINEES PTY LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
COLUMBIA CAPITAL LIFE AND REINSURANCE COMPANY

Primary Business Name of Associated Person:
COLUMBIA CAPITAL LIFE AND REINSURANCE COMPANY

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
DEVELOPMENT SECURITIES LIMITED

Primary Business Name of Associated Person:
DEVELOPMENT SECURITIES LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

NEW ZEALAND COMPANIES OFFICE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GSAM STABLE VALUE, LLC

Primary Business Name of Associated Person:
GSAM STABLE VALUE, LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (ASIA) FINANCE

Primary Business Name of Associated Person:
GOLDMAN SACHS (ASIA) FINANCE

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (CHINA) L.L.C.

Primary Business Name of Associated Person:
GOLDMAN SACHS (CHINA) L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT (INDIA) PRIVATE LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Board of India

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT CO., LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Services Agency

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

KANTO FINANCIAL BUREAU

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

MINISTRY OF LAND, INFRASTRUCTURE, TRANSPORT AND TOURISM

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

SECURITIES AND EXCHANGE SURVEILLANCE COMMISSION

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

English Name of Foreign Financial Regulatory Authority:

TOKYO METROPOLITAN GOVERNMENT

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

JAPAN

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AUSTRALIA (UK) LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS AUSTRALIA (UK) LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS AUSTRALIA CAPITAL MARKETS LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS AUSTRALIA FUTURES PTY LTD

Primary Business Name of Associated Person:
GOLDMAN SACHS AUSTRALIA FUTURES PTY LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS IRELAND FINANCE LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS IRELAND FINANCE LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A

Primary Business Name of Associated Person:
GOLDMAN SACHS DO BRASIL CORRETORA DE TITULOS E VALORES MOBILIARIOS S/A

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

English Name of Foreign Financial Regulatory Authority:

BACEN

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS FUTURES (ASIA) LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS FUTURES (ASIA) LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Futures Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

HONG KONG

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS GAO HUA SECURITIES COMPANY LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS GAO HUA SECURITIES COMPANY LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

China Securities Regulatory Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

CHINA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Board of India

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

English Name of Foreign Financial Regulatory Authority:

Financial Services Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

MAURITIUS

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND MANAGEMENT LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND MANAGEMENT LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

FINANCIAL MARKETS AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

English Name of Foreign Financial Regulatory Authority:

NEW ZEALAND COMPANIES OFFICE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND SECURITIES LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND SECURITIES LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

FINANCIAL MARKETS AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

English Name of Foreign Financial Regulatory Authority:

NEW ZEALAND COMPANIES OFFICE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS SERVICES PRIVATE LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS SERVICES PRIVATE LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
IRREWARRA INVESTMENTS PTY LTD

Primary Business Name of Associated Person:
IRREWARRA INVESTMENTS PTY LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
OOO GOLDMAN SACHS

Primary Business Name of Associated Person:
OOO GOLDMAN SACHS

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Federal Financial Markets Service

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

RUSSIAN FEDERATION

Select only one: AddDelete Amend

Legal Name of Associated Person:
MONTAGUE PLACE CUSTODY SERVICES

Primary Business Name of Associated Person:
GOLDMAN SACHS EQUITY SECURITIES (U.K.)

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
OOO GOLDMAN SACHS BANK

Primary Business Name of Associated Person:
OOO GOLDMAN SACHS BANK

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

CENTRAL BANK OF RUSSIA

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

RUSSIAN FEDERATION

English Name of Foreign Financial Regulatory Authority:

Federal Financial Markets Service

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

RUSSIAN FEDERATION

Select only one: AddDelete Amend

Legal Name of Associated Person:
QIAN KUN FUTURES CO., LTD.

Primary Business Name of Associated Person:
QIAN KUN FUTURES CO., LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
SBI JAPANNEXT CO., LTD.

Primary Business Name of Associated Person:
SBI JAPANNEXT CO., LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (RUSSIA)

Primary Business Name of Associated Person:
GOLDMAN SACHS (RUSSIA)

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Financial Conduct Authority

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

UNITED KINGDOM

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT AUSTRALIA PTY LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Australian Securities and Investments Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

AUSTRALIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ISRAEL LLC

Primary Business Name of Associated Person:
GOLDMAN SACHS ISRAEL LLC

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS MANAGEMENT PARTNERS

Primary Business Name of Associated Person:
GOLDMAN SACHS MANAGEMENT PARTNERS

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS NEW ZEALAND LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

FINANCIAL MARKETS AUTHORITY

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

English Name of Foreign Financial Regulatory Authority:

NEW ZEALAND COMPANIES OFFICE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

English Name of Foreign Financial Regulatory Authority:

NEW ZEALAND COMPANIES OFFICE

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

NEW ZEALAND

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY), L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE PARTNERS (GERMANY), L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE SCA

Primary Business Name of Associated Person:
GOLDMAN SACHS DEVELOPING MARKETS REAL ESTATE SCA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.

Primary Business Name of Associated Person:
GOLDMAN SACHS MEXICO, CASA DE BOLSA, S.A. DE C.V.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

National Commission for Banking and Securities

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

MEXICO

English Name of Foreign Financial Regulatory Authority:

BANCO DE MEXICO

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

MEXICO

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED

Primary Business Name of Associated Person:
GOLDMAN SACHS (INDIA) CAPITAL MARKETS PRIVATE LIMITED

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

THE RESERVE BANK OF INDIA

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

INDIA

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT BRASIL LTDA

Primary Business Name of Associated Person:
GOLDMAN SACHS ASSET MANAGEMENT BRASIL LTDA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

Securities and Exchange Commission

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS DO BRASIL BANCO MULTIPLO SA

Primary Business Name of Associated Person:
GS DO BRASIL BANCO MULTIPLO SA

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

BACEN (CENTRAL BANK OF BRAZIL)

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

English Name of Foreign Financial Regulatory Authority:

ASSOCIACAO BRASILEIRA DAS ENTIDADES DOS MERCADOS FINANCEIRO E DE CAPITAIS

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

English Name of Foreign Financial Regulatory Authority:

CVM

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

BRAZIL

Select only one: AddDelete Amend

Legal Name of Associated Person:
BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BRIDGE STREET OPPORTUNITY ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET CONTROL ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BROAD STREET CONTROL ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET LOAN PARTNERS 2013 ADVISORS, LTD.

Primary Business Name of Associated Person:
BROAD STREET LOAN PARTNERS 2013 ADVISORS, LTD.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET LOAN PARTNERS 2013 ONSHORE ADVISORS, L.L.C.

Primary Business Name of Associated Person:
BROAD STREET LOAN PARTNERS 2013 ONSHORE ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II GP, L.L.C.

Primary Business Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II GP, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II OFFSHORE MASTER FUND, L.P.

Primary Business Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II OFFSHORE MASTER FUND, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II, L.P.

Primary Business Name of Associated Person:
BROAD STREET REAL ESTATE CREDIT PARTNERS II, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BSRECP II OFFSHORE US INVESTMENT HOLDING, LTD

Primary Business Name of Associated Person:
BSRECP II OFFSHORE US INVESTMENT HOLDING, LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
BSRECP II OFFSHORE US ORIGINATION HOLDING REIT, L.L.C

Primary Business Name of Associated Person:
BSRECP II OFFSHORE US ORIGINATION HOLDING REIT, L.L.C

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
CO-INVEST FUND ADVISORS, INC.

Primary Business Name of Associated Person:
CO-INVEST FUND ADVISORS, INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
MBD ADVISORS, L.L.C.

Primary Business Name of Associated Person:
MBD ADVISORS, L.L.C.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GS INVESTMENT STRATEGIES CANADA INC.

Primary Business Name of Associated Person:
GS INVESTMENT STRATEGIES CANADA INC.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS FUTURES PTE LTD

Primary Business Name of Associated Person:
GOLDMAN SACHS FUTURES PTE LTD

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

English Name of Foreign Financial Regulatory Authority:

SINGAPORE EXCHANGE SECURITIES TRADING LIMITED

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SINGAPORE

English Name of Foreign Financial Regulatory Authority:

Monetary Authority of Singapore

Registration Number (if any): (Need to capture the right value from schema)

English Name of Country:

SINGAPORE

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS TRUST

Primary Business Name of Associated Person:
GOLDMAN SACHS TRUST

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS VARIABLE INSURANCE TRUST

Primary Business Name of Associated Person:
GOLDMAN SACHS VARIABLE INSURANCE TRUST

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS TRUST II

Primary Business Name of Associated Person:
GOLDMAN SACHS TRUST II

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
J. ARON & COMPANY (SINGAPORE) PTE.

Primary Business Name of Associated Person:
J. ARON & COMPANY (SINGAPORE) PTE.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

Select only one: AddDelete Amend

Legal Name of Associated Person:
GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS, L.P.

Primary Business Name of Associated Person:
GOLDMAN SACHS MITSUI MARINE DERIVATIVE PRODUCTS, L.P.

A. Associated person is a: Check all that apply.

(1) Broker-dealer, municipal securities dealer, or government securities broker or dealer
(2) Investment company (including mutual funds)
(3) Investment adviser (including financial planners)
(4) Swap dealer
(5) Security-based swap dealer
(6) Major swap participant
(7) Major security-based swap participant
(8) Commodity pool operator (whether registered or exempt from registration)
(9) Commodity trading advisor (whether registered or exempt from registration)
(10) Futures commission merchant
(11) Banking or thrift institution
(12) Trust company
(13) Accountant or accounting firm
(14) Attorney or law firm
(15) Insurance company or agency
(16) Pension consultant
(17) Real estate broker or dealer
(18) Sponsor or syndicator of limited partnerships
(19) Engineer or engineering firm
(20) Other municipal advisor

B. Control Relationships and Foreign Relations

(1) Control Relationships

(a) Does the applicant control or is it controlled by the associated person? Yes No

(b) Are the applicant and the associated person under common control? Yes No

(2) Foreign Financial Regulatory Authority Registration

(a) Is the associated person registered with a foreign financial regulatory authority? Yes No

(b) List the name, in English: the name of each foreign financial regulatory authority, the associated person's registration number with that authority (if any), and the country in which the authority has jurisdiction.

SECTION 8 Control Persons (on a basis other than 25% ownership or executive officer status)

Section 8-A. A separate Schedule D must be completed for each control person not named in Item 1-A. or Schedules A, B, or C that directly or indirectly controls the applicant's management or policies.

Section 8-B. If any person named in Schedules A, B, or C or in Section 8-A of this Schedule D is a public reporting company under Sections 12 or 15(d) of the Securities Exchange Act of 1934, provide the information below. A separate Schedule D must be completed for each public reporting company.

(1) Full legal name of the public reporting company:
GOLDMAN SACHS GROUP INC

(2) The public reporting company’s EDGAR CIK number:
0000886982

(3) The Schedules where the public reporting company was reported: Check all that apply.

Schedule A

Schedule B

Schedule C, Section 4

Schedule C, Section 5

Schedule D, Section 8-A

Schedule D: MISCELLANEOUS

The space below may be used to explain a response to an Item or to provide any other information.

Item 1.K: Business Affiliates of the Applicant The applicant is an operating subsidiary of The Goldman Sachs Group, Inc. ("GS Group"), which is a leading global investment banking, securities and investment management firm that provides a wide range of financial services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The number of the affiliates of the applicant is extensive, and due to the breadth of their global operations, the firm is including in response to Item 1.K. the direct owners of the applicant and the significant subsidiaries of the parent company of the applicant, GS Group, as provided in the most recent Form 10-K of GS Group ("Specified Affiliates"). Certain Specified Affiliates are registered or licensed to trade or advise in securities or derivatives, and/or are members of a securities or derivatives exchange, SRO or similar organization, and/or rely on exemptions from such registrations, licenses or exemptions. Although we have listed the primary regulators where applicable in response to Item 1.K(2), it is impractical to list all federal, state or foreign registrations of such affiliates, since this may change from time to time in the ordinary course of business.

CRIMINAL ACTION DISCLOSURE REPORTING PAGE (MA)

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-A or 9-B of Form MA.

Check item(s) being responded to:

9-A(1)9-A(2)9-B(1)9-B(2)

How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-A(1), 9-A(2), 9-B(1), and/or 9-B(2). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) must be provided electronically if not previously submitted.

CRIMINAL ACTION DRP PART 1

Check all that apply, except where noted:

The person (s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm )

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

Yes No

(b) The reason the DRP should be removed is:

The applicant is registered or has submitted an application for registration that is currently pending and the event or proceeding was resolved in the applicant’s favor.

The DRP was filed in error.

The event or proceeding occurred more than ten years ago.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons ?

Yes No

(i) Total number of such associated person (s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

FirmNatural Person

Full name of the associated person. Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter "NMN" on that line.

Last Name

First Name

Middle Name

Suffix

The associated person is: registered with the SEC not registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated persons ?

Yes No

The reason the DRP should be removed is:

The associated persons (s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The event or proceeding occurred more than ten years ago.

The DRP was filed in error.

Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for this Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes", Provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing: For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

MARK ALEXANDER SOMERS

CRD No.:

Disclosure Occurrence No.:

2. Form MA Filing: For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing: For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name of individual:

MA-I File Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

Note: The completion of all or any part of this form does not relieve the municipal advisor or associated person of its obligation to update its IARD or CRD records.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-A or 9-B of Form MA.

Check item(s) being responded to:

9-A(1)9-A(2)9-B(1)9-B(2)

How to Report an Event or Proceeding on a Criminal Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-A(1), 9-A(2), 9-B(1), and/or 9-B(2). Use this DRP to report all charges, including multiple counts of the same charge, arising out of the same event and filed in one criminal action. Separate cases arising out of the same event, and unrelated criminal actions, must be reported on separate DRPs.

How to Provide Court Documents: Applicable court documents (i.e., criminal complaint, information or indictment as well as judgment of conviction or sentencing documents) must be provided electronically if not previously submitted.

CRIMINAL ACTION DRP PART 1

Check all that apply, except where noted:

The person (s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm )

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

Yes No

(b) The reason the DRP should be removed is:

The applicant is registered or has submitted an application for registration that is currently pending and the event or proceeding was resolved in the applicant’s favor.

The DRP was filed in error.

The event or proceeding occurred more than ten years ago.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons ?

Yes No

(i) Total number of such associated person (s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

FirmNatural Person

MTGLQ INVESTORS, L.P.

Full name of the associated person. Enter all the letters of each name and not initials or other abbreviations. If no middle name, enter "NMN" on that line.

Last Name

First Name

Middle Name

Suffix

The associated person is: registered with the SEC not registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated persons ?

Yes No

The reason the DRP should be removed is:

The associated persons (s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The event or proceeding occurred more than ten years ago.

The DRP was filed in error.

Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for this Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes", Provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing: For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

GOLDMAN, SACHS & CO.

CRD No.:

Disclosure Occurrence No.:

2. Form MA Filing: For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing: For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name of individual:

MA-I File Number:

Date of filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

Note: The completion of all or any part of this form does not relieve the municipal advisor or associated person of its obligation to update its IARD or CRD records.

REGULATORY ACTION DISCLOSURE REPORTING PAGE (MA)

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1706941

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1701795

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1701169

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1691191

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1691526

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1684048

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1691192

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. ARON & COMPANY

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1682653

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1679917

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1679237

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1663602

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1663601

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1661012

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1653947

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1653357

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1651028

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1651022

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1651017

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1650268

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1641244

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1639393

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1638242

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1636603

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1632467

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1631806

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1630993

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1630823

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

MTGLQ INVESTORS, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1630393

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1629669

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1629490

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1628920

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1628249

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1628179

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS SAUDI ARABIA

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1625434

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1620974

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1610304

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS STRUCTURED PRODUCTS (ASIA) LIMITED

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1608675

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1607252

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1606294

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1606247

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1606244

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1605776

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1600171

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1592388

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1592385

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1592366

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1589895

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1589894

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1589893

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1589891

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1587471

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1587470

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1587469

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS AUSTRALIA PTY LDT (F/K/A GOLDMAN SACHS & PARTNERS AUSTRALIA PTY LTD)

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1578762

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1573082

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GS EQUITY MARKETS, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1573079

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1570440

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1570439

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1570438

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1569959

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1567172

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1565186

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1565185

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1561940

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1559618

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1557233

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1550319

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548481

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548480

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548478

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548477

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548475

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1548472

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1544689

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1542832

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1541961

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1541937

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1537314

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1537313

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1537312

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1537311

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1535415

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1530250

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1530249

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1527912

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1525446

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1525353

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1523657

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1520007

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519611

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519610

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519609

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519608

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519607

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519606

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519605

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519604

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1519484

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1513680

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1512499

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511443

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511264

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511263

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511261

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511259

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511258

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511257

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1511255

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1510601

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1507717

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1502496

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1478214

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1463922

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1457278

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1447852

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1437306

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1435202

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1431855

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1421948

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1421094

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1397110

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1392886

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1389294

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1376440

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1367197

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1360383

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1346223

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1346219

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INVESTMENTS (MAURITIUS) I LTD.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1339473

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1335354

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1322019

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1316174

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1313961

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1307228

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1305157

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1304418

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS ASSET MANAGEMENT CO. LTD.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1289935

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1283063

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1278770

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1276046

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1266079

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1263380

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1260637

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1248000

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1245304

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1244733

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1244732

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1244658

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1235486

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1215429

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1214960

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1214958

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1212973

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1211564

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1210691

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1210589

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1205044

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197945

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197944

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197943

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197941

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197939

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197938

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197937

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197936

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197935

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197934

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197931

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197927

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197925

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197922

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197921

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197920

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197919

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197918

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197917

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197916

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197915

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197914

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197913

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197912

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197911

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197909

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197908

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197908

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197907

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197906

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197903

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197902

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197901

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197900

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197899

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197898

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197897

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1197896

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1189552

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1181801

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1180899

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1176517

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1176153

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1175175

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1175074

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1168144

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1164608

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1164027

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1163973

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1157526

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1147835

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1135516

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1134408

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1120336

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1113220

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1111943

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1110601

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1110105

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1095211

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1083395

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1017238

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

990325

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

968109

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

883564

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

833034

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

737029

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

718759

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

702438

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684893

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684890

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684889

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684763

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684753

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684745

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684730

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684728

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684706

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684704

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684690

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684687

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684685

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684684

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684683

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684682

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684681

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

684679

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. ARON & CO.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

683161

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683148

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683126

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683114

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683107

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683096

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

683015

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

682961

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. ARON

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

684691

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

682566

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. ARON

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

681549

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

681512

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. ARON

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

681504

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

681492

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

681465

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

681449

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

669728

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

322393

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

256998

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

242881

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

232241

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

229970

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

228820

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

228812

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

228801

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

182184

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

150205

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

137459

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110711

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110709

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110706

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110705

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110704

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110703

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110702

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110701

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110700

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110699

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110698

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110697

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110695

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110691

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110690

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

110688

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1447836

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1333969

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1279144

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1207507

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1193177

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

REDI GLOBAL TECHNOLOGIES LLC

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

REDI GLOBAL TECHNOLOGIES LLC

Name on Registration

CRD No.

1191091

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1706267

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1698850

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1688637

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1671316

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1667265

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1664844

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1651843

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1637956

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1620473

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1619774

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1602647

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1600173

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1553138

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1525283

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1517176

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1516761

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1508645

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1507022

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1503864

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1502488

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1497183

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1496139

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1496074

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1478504

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1478493

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1450046

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1447845

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1446357

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1431121

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1384098

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1378532

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1376675

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1344306

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1343890

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1337577

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1324747

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1317710

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1317502

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1310619

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1299422

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1298225

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1282996

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1271230

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1244979

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1244871

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1232080

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1219869

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1218758

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1168166

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1148903

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1148773

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1130169

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1127484

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1116587

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1086547

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1073363

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1045747

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1044130

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1040975

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1027107

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1019301

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1013208

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

1012067

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

979334

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

869628

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

787476

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

720817

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

690486

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

685903

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

608764

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

608763

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591959

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591957

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591954

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591953

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591950

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591949

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591943

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591940

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591931

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591928

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591923

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591920

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591916

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591914

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591912

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591911

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591909

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591908

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591906

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591904

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591900

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591898

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591897

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591895

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591894

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591892

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591891

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591890

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

591889

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

322334

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

322313

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

322252

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

322214

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

319160

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

285001

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

278540

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

240313

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

229442

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

229442

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

203281

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

150192

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

146094

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

146092

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

137406

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110434

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110431

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110430

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110429

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110428

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110427

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110426

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110425

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110424

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110423

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110422

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110421

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110420

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110419

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110418

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110417

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110416

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110415

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110414

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110413

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

Name on Registration

CRD No.

110406

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

THE GOLDMAN SACHS GROUP, INC.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1581311

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS BANK USA

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1581311

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

GOLDMAN SACHS INTERNATIONAL

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No.

1712383

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1712382

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1712381

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1710211

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

GOLDMAN, SACHS & CO.

Name on Registration

CRD No123.

1707555

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1714036

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1716262

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1717554

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1724299

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1726158

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1729719

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1734104

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1734105

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1734107

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1734108

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman, Sachs & Co.

Name on Registration

CRD No123.

1734110

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration3123

MA-I Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs International

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs International

Name on Registration

CRD No.

1734112

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs International

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs International

Name on Registration

CRD No.

1734114

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs Execution & Clearing, L.P.

Name on Registration

CRD No.

1711713

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs Execution & Clearing, L.P.

Name on Registration

CRD No.

1723322

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs Execution & Clearing, L.P.

Name on Registration

CRD No.

1734087

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs Execution & Clearing, L.P.

Name on Registration

CRD No.

1734088

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

If the answer is "Yes," provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Goldman Sachs Execution & Clearing, L.P.

Name on Registration

CRD No.

1734089

Disclosure Occurrence No.

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration

MA Registration Number

Date of Filing that contains the DRP (MM/DD/YYYY)

Accession number of the filing

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration

MA-I Registration Number

Date of Filing that contains the disclosure

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by:

A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

ICE Futures U.S., Inc.

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

ICE Futures U.S., Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

NEW YORK

State/Country

Postal Code

C. Docket/Case Number:

2013-016/028

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? Yes No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

ICE Futures U.S., Inc. ("IFUS") Compliance Department issued a Notice of Summary Fine, dated November 19, 2014, to Goldman, Sachs & Co. (the "Firm"), stating that: (i) on February 11, 2013 and March 11, 2013, the Firm failed to enter certain Crossing Orders ("CO") for certain opposing orders submitted simultaneously by a common account manager on behalf of accounts with separate beneficial owners; and (ii) specifically, on each date, the Firm entered certain opposing orders without the use of IFUS CO functionality, resulting in certain futures spreads transacting against one another, in violation of IFUS Rule 4.02(i)(2).

7. Current Status: Pending On Appeal Final

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?

Yes No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No
If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail:

A. Sanctions: Were any Sanctions Ordered? Yes No

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time).

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification:

Was requalification by examination, retraining, or other process a condition of a sanction? YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide the following details:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? Yes No

(1) If "Yes," provide the date (MM/DD/YYYY):

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Provide the information for each additional associated person below:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

The Summary Fine, in the amount of $15,000, was paid by submission of a wire on November 28, 2014.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by:

A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Bourse de Montreal Inc.

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Bourse de Montreal Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

CANADA (FEDERAL LEVEL)

State/Country

Postal Code

C. Docket/Case Number:

12-011-DISC

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? Yes No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

In an Originating Notice to Goldman, Sachs & Co. (the "Firm") dated June 18, 2013, The Bourse de Montreal Inc. (the "Bourse") alleged that, during the period from December 1, 2005 to June 30, 2012, the Firm provided certain personnel access to the electronic trading system of the Bourse without having obtained the prior approval of the Bourse, in alleged contravention of section A) of Article 6366 of the Rules of the Bourse.

7. Current Status: Pending On Appeal Final

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?

Yes No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No
If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail:

A. Sanctions: Were any Sanctions Ordered? Yes No

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time).

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification:

Was requalification by examination, retraining, or other process a condition of a sanction? YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide the following details:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? Yes No

(1) If "Yes," provide the date (MM/DD/YYYY):

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Provide the information for each additional associated person below:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

On November 25, 2014, the Disciplinary Committee of the Bourse (the "Committee") informed the Firm of the Committee's approval of an offer of settlement (the "Offer of Settlement") negotiated between the staff of the Regulatory Division of the Bourse and the Firm. The Committee approved the Offer of Settlement on November 14, 2014. In the Offer of Settlement, the Firm agreed to the payment of a fine in the amount of CAD$65,000, as well as an additional amount of CAD$6,500 for costs, which amount was paid by submission of a wire on December 18, 2014. While the actual payment was made in Canadian dollars, using the most recently published Federal Reserve foreign exchange rate of CAD$1.1538:USD$1 as of December 12, 2014, the equivalent US Dollar value on December 12, 2014 was USD$61,969.15, which amount is reflected in Item 12.B. above. As indicated in the Committee's approval of the Offer of Settlement, upon learning of certain unapproved access to the electronic trading system of the Bourse, the Firm took corrective measures, and the Bourse noted that the problem was corrected.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by:

A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Chicago Board Options Exchange, Incorporated

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Chicago Board Options Exchange, Incorporated

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

NEW YORK

State/Country

Postal Code

C. Docket/Case Number:

14-0047

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? Yes No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

The Chicago Board Options Exchange, Incorporated ("CBOE") alleged that, during the approximate period from in or about January 2009 through in or about February 2011, Goldman, Sachs & Co. (the "Firm") failed: (i) on certain occasions, to grant priority to the highest bid and/or lowest offer when such bid or offer was available, and to use due diligence to execute certain orders at the best prices available, in alleged violation of CBOE Rules 6.45A, 6.45B and 6.73; and (ii) to assure compliance with such rules, in alleged violation of CBOE Rule 4.2.

7. Current Status: Pending On Appeal Final

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?

Yes No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No
If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail:

A. Sanctions: Were any Sanctions Ordered? Yes No

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time).

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification:

Was requalification by examination, retraining, or other process a condition of a sanction? YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide the following details:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? Yes No

(1) If "Yes," provide the date (MM/DD/YYYY):

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Provide the information for each additional associated person below:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Consent which was approved by the CBOE Business Conduct Committee on December 1, 2014, and on December 9, 2014, the Firm submitted a wire in payment of the fine in the amount of $20,000.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

J. Aron & Company

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by: (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

J. ARON & COMPANY

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil/Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

ICE Futures U.S., Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

NEW YORK

State/Country

Postal Code

C. Docket/Case Number:

2013-155

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? YES No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

ICE FUTURES U.S., INC. ("IFUS") BUSINESS CONDUCT COMMITTEE ("BCC") DETERMINED THAT J. ARON & COMPANY ("J. ARON") MAY HAVE, IN ONE (1) INSTANCE, EXCEEDED THE SPOT MONTH SPECULATIVE POSITION LIMIT ESTABLISHED BY IFUS IN AN ENERGY FUTURES CONTRACT DURING CONTRACT EXPIRATION, IN ALLEGED VIOLATION OF IFUS RULE 6.20(B).

7. Current Status:

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? YES NO

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No

If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail

A. Sanctions: Were any Sanctions Ordered? Yes No, none were ordered .

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $ $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification: Was requalification by examination, retraining, or other process a condition of a sanction?
YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? YES NO

(1) If "Yes," provide the date (MM/DD/YYYY)

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

WITHOUT ADMITTING OR DENYING ANY VIOLATION OF IFUS RULES, J. ARON ENTERED INTO A SETTLEMENT AGREEMENT, WHICH WAS APPROVED BY THE BCC, IN WHICH J. ARON: (I) AGREED TO CEASE AND DESIST FROM FUTURE VIOLATIONS OF IFUS RULE 6.20(B); AND (II) CONSENTED TO A MONETARY PAYMENT OF $82,064 IN THE AGGREGATE, CONSISTING OF A FINE IN THE AMOUNT OF $20,000, AND DISGORGEMENT OF PROFITS IN THE AMOUNT OF $62,064, BOTH OF WHICH WERE PAID BY SUBMISSION OF A WIRE ON NOVEMBER 26, 2014.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by:

A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Financial Industry Regulatory Authority, Inc.

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Financial Industry Regulatory Authority, Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

MARYLAND

State/Country

Postal Code

C. Docket/Case Number:

2011030683301

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

Initial Public Offering

B. Other Product Types? Yes No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Enforcement alleged that in connection with efforts by Goldman, Sachs & Co. (the "Firm") and other broker-dealers to participate in a company's planned initial public offering (IPO), the Firm: (a) allowed a research analyst to participate in the solicitation of certain investment banking business; (b) offered favorable research coverage to induce the receipt of investment banking business; and (c) failed to adopt and implement policies and procedures reasonably designed to prevent violations of Rule NASD Rule 2711, in alleged violation of NASD Rules 2711(c)(4), 2711(e), and 2711(i), respectively, and each in alleged violation of FINRA Rule 2010.

7. Current Status: Pending On Appeal Final

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?

Yes No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No
If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail:

A. Sanctions: Were any Sanctions Ordered? Yes No

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time).

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification:

Was requalification by examination, retraining, or other process a condition of a sanction? YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide the following details:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? Yes No

(1) If "Yes," provide the date (MM/DD/YYYY):

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Provide the information for each additional associated person below:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 10, 2014, and on December 18, 2014, the Firm submitted a wire in payment of a fine in the amount of $5,000,000.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by: (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Chicago Board Options Exchange, Incorporated

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil/Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

Not specifed at this time

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Chicago Board Options Exchange, Incorporated

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

ILLINOIS

State/Country

Postal Code

C. Docket/Case Number:

14-0170

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? YES No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

Chicago Board Options Exchange, Incorporated ("CBOE") Business Conduct Committee alleged that, from on or about November 5, 2011 through on or about July 14, 2014, Goldman Sachs Execution & Clearing, L.P. ("GSEC") failed to appropriately register one Associated Person as a Proprietary Trader Principal (TP) with the CBOE, in alleged violation of CBOE Rule 3.6A.

7. Current Status:

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? YES No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No

If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail

A. Sanctions: Were any Sanctions Ordered? Yes No, none were ordered .

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification: Was requalification by examination, retraining, or other process a condition of a sanction?
YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? YES NO

(1) If "Yes," provide the date (MM/DD/YYYY)

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered:

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered:

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount:

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

GSEC is reviewing, and will submit an answer to the CBOE.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response used to report details for affirmative responses to Items 9-C, 9-D, 9-E, 9-F or 9-G of Form MA.

Check item(s) being responded to:

9-C(1)

9-C(2)

9-C(3)

9-C(4)

9-C(5)

9-D(1)

9-D(2)

9-D(3)

9-D(4)

9-D(5)

9-E(1)

9-E(2)

9-E(3)

9-E(4)

9-F

9-G

How to Report an Event or Proceeding on a Regulatory Action DRP: Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Items 9-C, 9-D, 9-E, 9-F, and/or 9-G. If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.

REGULATORY ACTION DRP PART 1

Check all that apply, except where noted

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

YES NO

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) If "Yes," indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Entry

Firm

Full name of the associated person:

Goldman Sachs Execution & Clearing, L.P.

The associated person is: registered with the SECnot registered with the SEC

SEC Registration No.

CRD No., if any

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor

The DRP was filed in error. Explain the circumstances:

Natural person

Full name of the associated person:

Enter all the letters of each name and not initials or other abbreviations.
If no middle name, enter NMN on that line.

First Name

Middle Name

Last Name

Suffix

The associated person is:

registered with the SEC

SEC Registration No.:

not registered with the SEC

CRD No., if any:

Is this DRP an amendment that seeks to remove a previously filed DRP concerning this associated person?

Yes No

If "Yes," the reason the DRP should be removed is:

The associated person(s) is no longer associated with the advisor.

The event or proceeding was resolved in the associated person's favor.

The DRP was filed in error. Explain the circumstances:

Applicant

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

Yes No

Associated Person(s)

B. DRP Filed Elsewhere for This Event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), or (b) in the SEC's EDGAR system (with a Form MA or Form MA-I)?

YES NO

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by:

A. Select the Appropriate Item. (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Financial Industry Regulatory Authority, Inc.

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in (if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Financial Industry Regulatory Authority, Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

MARYLAND

State/Country

Postal Code

C. Docket/Case Number:

2012031743301

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? Yes No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman, Sachs & Co. (the "Firm") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008).

7. Current Status: Pending On Appeal Final

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect?

Yes No

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.

B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No
If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the action by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail:

A. Sanctions: Were any Sanctions Ordered? Yes No

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time).

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification:

Was requalification by examination, retraining, or other process a condition of a sanction? YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide the following details:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? Yes No

(1) If "Yes," provide the date (MM/DD/YYYY):

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY):

If "No," explain the circumstances:

Provide the information for each additional associated person below:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

Without admitting or denying the allegations or findings, the Firm consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, the Firm submitted a wire in payment of a fine in the amount of $18,750.

REGULATORY ACTION DRP PART 2

1. Regulatory Action was initiated by: (Select only one. A separate Regulatory Action DRP is required for each such regulator or other authority.)

SEC

State

Foreign Financial Regulatory Authority

CFTC

SRO

Other: (specify)

Federal Banking Agency

National Credit Union Administration

Other Federal Authority

B. Full name of the individual regulator (if not fully identified in Item 1-A.) or other authority that initiated the action. For a foreign financial regulatory authority, please provide the full name in English.

Financial Industry Regulatory Authority, Inc.

2. Sanction(s) Sought: Check all that apply.

Bar (Permanent)

Disgorgement

Restitution

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil/Administrative Penalty(ies)/Fine(s)

Reprimand

Undertaking

Denial

Rescission

Other Sanction(s) Sought (list each such additional sanction):

3. Date Initiated (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

4. Regulatory Action was brought in(if brought in a foreign jurisdiction, provide all the information below in English):

A. Name of the Administrative Proceeding, Commission/Agency Hearing, or other regulatory proceeding or forum:

Financial Industry Regulatory Authority, Inc.

B. Location of the Proceeding / Hearing:

Street Address 1

Street Address 2

City or County

MARYLAND

State/Country

Postal Code

C. Docket/Case Number:

2012031743301

5. A. Principal Product Type (check appropriate item):

No Product

Annuity – Charitable

Direct Investment – DPP & LP Interest

Oil & Gas

Annuity – Fixed

Equipment Leasing

Options

Annuity – Variable

Equity Listed (Common & Preferred Stock)

Penny Stock

Banking Product
(other than CD)

Equity OTC

Prime Bank Instrument

CD

Futures – Commodity

Promissory Note

Commodity Option

Futures – Financial

Real Estate Security

Debt – Asset Backed

Index Option

Security Futures

Debt – Corporate

Insurance

Security-based Swap

Debt – Government

Investment Contract

Swap

Debt – Municipal

Money Market Fund

Unit Investment Trust

Derivative

Mutual Fund

Viatical Settlement

Other Principal Product Type specify:

B. Other Product Types? YES No

If "Yes," describe each additional product type:

6. Allegations: Describe the allegations related to this regulatory action. (The response must fit within the space provided.)

Financial Industry Regulatory Authority, Inc. ("FINRA") Department of Market Regulation alleged that during the period of August 2003 through December 2011, Goldman Sachs Execution & Clearing, LP. ("GSEC") failed to: (i) have adequate procedures, including written supervisory procedures, reasonably designed to identify material changes in access and management of certain accounts that were granted an exemption from aggregating options positions by the Intermarket Surveillance Group (ISG) in order to assure that proper notice was given to certain options exchanges (the "Exchanges"); and (ii) provide notice to the Exchanges of any such changes, in alleged violation of NASD Rules 3010 and 2110 (for conduct prior to December 15, 2008) and FINRA Rule 2010 (for conduct on and after December 15, 2008).

7. Current Status:

8. Pending: If you checked Item 7 Pending, provide the following information.

A. Date Served: The date that notice or other process was served (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

B. Limitation or Restrictions: Are there any limitations or restrictions currently in effect? YES NO

If the answer is "Yes," provide details:

9. On Appeal – Administrative or Judicial Review of the Regulatory Action: If you appealed, provide the following information.

A. Name of Regulator or Court Action Appealed To: Provide the name of the US regulator (i.e., the SEC, an SRO, other), federal court, state court or state regulator, or a foreign or international court or regulator to whom you appealed. If brought in a foreign jurisdiction, provide all the information below in English.



B. Location of the Regulator or Judicial Court to Whom You Appealed:

Street Address 1: Street Address 2:

City or County:

State/Country:

Postal Code:

C. Docket/Case Name:

D. Docket/Case Number:

E. Date Appeal filed (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

F. Appeal Details (including status):



G. Limitation or Restrictions: Are there any limitations or restrictions currently in effect while on appeal? Yes No

If the answer is "Yes," provide details:

If you checked Item 7 Final or On Appeal, complete Items 10 through 13. For Pending Actions, skip to Item 13.

10. A. Resolution: How the action was resolved? (Check all the applicable boxes that reflect the most recent resolution of the matter by a regulator or a court, whether or not any part of the resolution is on appeal. If any part of the resolution is on appeal, identify in Item 10-B which part is currently on appeal.)

Acceptance, Waiver & Consent (AWC)

Dismissed

Stipulation and Consent

Consent

Judgment Rendered

Withdrawn

Decision

Order

Other: (requires explanation)

Decision & Order of Offer of Settlement

Settled

Appealed

Affirmed

Vacated Nunc Pro Tunc / ab initio

Vacated & Returned For Further Action

Vacated / Final

Other: (requires explanation)

B. Explanation: (If more than one box in Item 10-A. is checked or Item 10-A. otherwise does not adequately summarize the type of resolution, provide an explanation. For example, if you appealed all or part of a resolution by the regulator or court, indicate what is being appealed.)

C. Order: If Order is checked above in Item 10-A., does the order constitute a final order based on violations of any laws or regulations that prohibit fraudulent, or deceptive conduct? Yes No

11. Resolution Date (MM/DD/YYYY): Exact Explanation

(For a resolution that is being appealed in part, the date to be provided should be the date on which the regulator (reviewing a decision by an SRO or an Administrative Law Judge) or a court provided its resolution.)

If not exact, provide explanation:

12. Resolution Detail

A. Sanctions: Were any Sanctions Ordered? Yes No, none were ordered .

B. If "Yes," check each individual sanction below that was ordered:

Bar (Permanent)

Disgorgement*

Restitution*

Bar (Temporary / Time Limited)

Expulsion

Requalification

Cease and Desist

Injunction

Revocation

Censure

Prohibition

Suspension

Civil and Administrative Penalty(ies)/Monetary Fine(s)*

Reprimand

Undertaking

Denial

Rescission

• Monetary Sanction(s): Were one or more sanctions ordered that require a monetary payment? Yes No

If "Yes," enter the total amount ordered: $ $

Other Sanctions Ordered (list each such additional sanction):

C. Sanction Detail (Provide the details of the following specific sanctions, if checked above in Item 12-B.)

(1) Barred, Enjoined, or Suspended: If you checked one or more of these sanctions in Item 12-B. above, check the applicable box(es) below and provide the corresponding information.

(a) Barred

If the applicant or an associated person received in the above action one or more bars from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(b) Enjoined

If the applicant or an associated person received in the above action one or more injunctions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(c) Suspended

If the applicant or an associated person received in the above one or more suspensions from registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

(i) Duration (length of time):

Permanent (not limited by length of time)

Temporary / Time Limited. Specify the: Days Months
Years

(ii) Start Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iii) End Date (MM/DD/YYYY): Exact Explanation

If not exact, provide explanation:

(iv) Description: Provide remaining details and the registration capacities affected
(General Securities Principal, Financial Operations Principal, etc.). If none, enter "None":

(2) Requalification: Was requalification by examination, retraining, or other process a condition of a sanction?
YES NO

If the applicant or an associated person received in the above action one or more requalifications in connection with registration capacities, associations, and/or other activities, and the terms specify different time periods, report each in a separate entry.

If "Yes," provide:

(a) Length of time given to requalify, retrain, or complete other process:
No time period is specified.

Time period is specified: Days Months
Years

(b) Type of examination, retraining, or other process required:

(c) Was the condition satisfied? YES NO

(1) If "Yes," provide the date (MM/DD/YYYY)

(2) If "No," explain the circumstances:

(3) Monetary Sanction(s): If you indicated in Item 12-B above that one or more monetary sanctions were ordered, provide the following information.

(a) Total Amount Ordered: $

(b) Portion levied against:

Applicant

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much? $

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

Associated Person

(i) Amount Ordered: $

(ii) Was any portion waived? Yes No If "Yes," how much?

(iii) Final Amount: $

(iv) Was final amount paid in full? Yes No

If "Yes," date paid in full (MM/DD/YYYY)

If "No," explain the circumstances:

13. Summary of Circumstances:

Use this space to provide a brief summary of the circumstances leading to the action, allegation(s), finding(s) and disposition(s), if any. Include any relevant information on the current action status, and on any terms, conditions, and dates not already provided above, and any other relevant information. The information must fit within the space provided.

Without admitting or denying the allegations or findings, GSEC consented to a censure and fine and entered into a Letter of Acceptance, Waiver and Consent (AWC) which was accepted by FINRA on December 23, 2014, and on January 9, 2015, GSEC submitted a wire in payment of a fine in the amount of $18,750.

CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (MA)

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.

Check item(s) being responded to:

9-H(1)(a)9-H(1)(b)9-H(1)(c)9-H(2)

How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.

CIVIL JUDICIAL ACTION DRP PART I

Check all that apply, except where noted:

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

Yes No

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) Indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP filed elsewhere for this event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

GOLDMAN, SACHS & CO.

CRD No.

Disclosure Occurrence No.

1505029

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration:

MA-I Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
associated person of its obligation to update its IARD or CRD records.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.

Check item(s) being responded to:

9-H(1)(a)9-H(1)(b)9-H(1)(c)9-H(2)

How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.

CIVIL JUDICIAL ACTION DRP PART I

Check all that apply, except where noted:

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

Yes No

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) Indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP filed elsewhere for this event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

GOLDMAN, SACHS & CO.

CRD No.

Disclosure Occurrence No.

1247737

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration:

MA-I Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
associated person of its obligation to update its IARD or CRD records.

GENERAL INSTRUCTIONS

This Disclosure Reporting Page (DRP MA) is an INITIAL OR AMENDED response to report details for an affirmative response used to report details for affirmative responses to Items 9-H. of Form MA.

Check item(s) being responded to:

9-H(1)(a)9-H(1)(b)9-H(1)(c)9-H(2)

How to Report an Event or Proceeding on a Civil Judicial Action DRP: Use a separate DRP for each event or proceeding. The same event or proceeding may be reported for more than one person or entity using one DRP. One event may result in more than one affirmative answer to Item 9-H. Separate cases arising out of the same event, and unrelated civil judicial actions, must be reported on separate DRPs; if they are later consolidated into a single civil judicial action, the consolidated action can be reported on one DRP.

CIVIL JUDICIAL ACTION DRP PART I

Check all that apply, except where noted:

A. The person(s) or entity(ies) for whom this DRP is being filed is (are) the:

Applicant (the municipal advisory firm)

Applicant and one or more of the applicant's associated person(s)

One or more of applicant's associated person(s)

1. Applicant

(a) Is this DRP an amendment filed for the applicant that seeks to remove a previously filed DRP concerning the applicant from the record?

Yes No

(b) If "Yes," the reason the DRP should be removed is:

The applicant is registered or applying for registration and the event or proceeding was resolved in the applicant's favor.

The DRP was filed in error.

Explain the circumstances:

2. Associated Person(s)

(a) Does this DRP concern one or more associated persons?

Yes No

(i) Indicate the total number of such associated person(s):

(b) Identify each such associated firm and/or natural person in the space below:

Applicant

B. DRP filed elsewhere for this event:

Is an accurate and up-to-date DRP containing the information regarding the applicant or associated person required by this DRP already on file (a) in the IARD or CRD system (with a Form ADV, BD, or U4), (b) in the SEC’s EDGAR system (with a Form MA or Form MA-I)?

Yes No

If the answer is "Yes", provide the applicable information indicated below that identifies where the DRP may be found.

1. Form ADV, BD, or U4 Filing

2. Form MA Filing

3. Form MA-I Filing

1. Form ADV, BD, or U4 Filing:

For a DRP filed on the IARD or CRD system with one of these forms, provide the following information:

Name on Registration:

GOLDMAN, SACHS & CO.

CRD No.

Disclosure Occurrence No.

1134508

2. Form MA Filing:

For a DRP filed on EDGAR with a Form MA, provide the following information:

Name on Registration:

MA Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

3. Form MA-I Filing:

For a DRP filed on EDGAR with a Form MA-I, provide the following information:

Name on Registration:

MA-I Registration Number:

Date of Filing that contains the DRP (MM/DD/YYYY):

Accession number of the filing:

NOTE: The completion of all or any part of this form does not relieve the municipal advisor or
associated person of its obligation to update its IARD or CRD records.