UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a) of the Securities
Exchange Act of 1934
Filed by the Registrant þ
Filed by a Party other than the Registrant o
Check the appropriate box:
o Preliminary Proxy Statement
o Confidential, For Use of the Commission Only (as permitted byRule 14a-6(e)(2))
þ Definitive Proxy Statement
o Definitive Additional Materials
o Soliciting Material Under Rule 14a-12
GOLDMAN SACHS TRUST
(Name of Registrant as Specified In Its Charter)
(none)
(Name of Person(s) Filing Proxy Statement, if Other Than the Registrant)
Payment of Filing Fee (Check the appropriate box):
þ | No fee required. |
o | Fee computed on table below per Exchange ActRules 14a-6(i)(1) and0-11. |
(1) | Title of each class of securities to which transaction applies: |
(2) | Aggregate number of securities to which transaction applies: |
(3) | Per unit price or other underlying value of transaction computed pursuant to Exchange ActRule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined): |
(4) | Proposed maximum aggregate value of transaction: |
(5) | Total fee paid: |
o | Fee paid previously with preliminary materials. |
o | Check box if any part of the fee is offset as provided by Exchange ActRule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. |
(1) | Amount Previously Paid: |
(2) | Form, Schedule or Registration Statement No.: |
(3) | Filing Party: |
(4) | Date Filed: |
TABLE OF CONTENTS
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GOLDMAN SACHS TRUST
71 South Wacker Drive
Chicago, Illinois 60606
71 South Wacker Drive
Chicago, Illinois 60606
May 25, 2007
Dear Shareholder:
You are cordially invited to attend a Special Meeting of Shareholders (the “Meeting”) of the Goldman Sachs Trust (the “Trust”) to be held on August 3, 2007, at 2 P.M. (New York time), at the offices of Goldman Sachs Asset Management, L.P. located at 32 Old Slip, 31st Floor, Conference Room A, New York, NY 10005. Please note that if you plan to attend the Meeting, photographic identification will be required for admission.
At this important meeting, you will be asked to consider and act upon one or more of the following proposals.
Matters to be voted upon by all Shareholders of each series of the Trust (each, a “Fund” and, collectively the “Funds”):
Proposal 1. | To elect eight Trustees of the Trust. |
Matters to be voted upon only by Shareholders of Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund, Goldman Sachs Tollkeeper Fundsm and Goldman Sachs Concentrated International Equity Fund, each Fund’s shareholders to vote only with respect to that Fund:
Proposal 2. | To approve a change in the Fund’ssub-classification under the Investment Company Act of 1940 from “diversified” to “non-diversified” and to eliminate a related fundamental investment restriction. |
Matters to be voted upon only by Shareholders of Goldman Sachs California Intermediate AMT-Free Municipal Fund and Goldman Sachs New York Intermediate AMT-Free Municipal Fund, each Fund’s shareholders to vote only with respect to that Fund:
Proposal 3. | To approve the removal of the Fund’s secondary investment objective. |
Matters to be voted upon by all Shareholders of each Fund:
Proposal 4. | To transact such other business as may properly come before the Meeting or any adjournment or adjournments thereof. |
A formal Notice of Special Meeting of Shareholders and Proxy Statement setting forth in detail the matters to come before the Meeting are attached hereto, and a proxy card is enclosed for your use. You should read the Proxy Statement carefully.
WHETHER OR NOT YOU PLAN TO BE PRESENT AT THE MEETING, YOUR VOTE IS NEEDED. The Board of Trustees of the Trust recommends that you vote “FOR” each of the proposals with respect to your Fund(s) . However, before you vote, please read the proxy statement for a complete description of the proposals. If you do not plan to be present at the Meeting, you can vote by signing, dating and returning the enclosed proxy card promptly or by using the Internet or telephone voting options as described on your proxy card. If you have any questions regarding the proxy materials, please contact the Trust at1-800-621-2550. Your prompt response will help reduce proxy costs — which are paid by the Trust and its Shareholders — and will also mean that you can avoid receivingfollow-up phone calls or mailings.
Sincerely,
![-s- Kaysie P. Uniacke](https://capedge.com/proxy/DEF 14A/0000950123-07-008213/y34926y3492601.gif)
Kaysie P. Uniacke
President
PLEASE SIGN, DATE AND RETURN THE ENCLOSED PROXY
CARD IN THE ENCLOSED ENVELOPE OR USE THE INTERNET OR TELEPHONE VOTING OPTIONS TO CAST YOUR VOTE AS SOON AS POSSIBLE.
Questions and Answers
Q: | What is the purpose of this proxy solicitation? |
A: | The purpose of this proxy solicitation is (i) to ask Shareholders of each Fund to vote on the election of eight members of the Board of Trustees (the “Board”) of Goldman Sachs Trust (the “Trust”), whose terms will be effective beginning August 3, 2007 or, in the event of a postponement or postponements or an adjournment or adjournments of the special meeting of shareholders (the “Meeting”), such later date as shareholder approval is obtained; (ii) with respect to each of Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund, Goldman Sachs Tollkeeper Fundsm and Goldman Sachs Concentrated International Equity Fund, to approve a change in the Fund’ssub-classification under the Investment Company Act of 1940, as amended (“1940 Act”), from “diversified” to “non-diversified,” and to eliminate a related fundamental investment restriction; and (iii) with respect to each of Goldman Sachs California Intermediate AMT-Free Municipal Fund and Goldman Sachs New York Intermediate AMT-Free Municipal Fund, to approve the removal of the Fund’s secondary investment objective. |
I. | BOARD PROPOSALS |
A. | PROPOSAL 1 — ELECTION OF TRUSTEES | |
Q: | Why am I being asked to vote for Trustees? |
A: | Over the course of the past several years, several members of the Board have ceased to serve as Trustees due to retirement or resignation. While the Board can ordinarily appoint new Trustees without a shareholder vote, they cannot do so if, after such appointment, the number of Trustees who have been elected by shareholders falls below two-thirds of the Trust’s Trustees. If the new nominees to the Board were appointed, the number of Trustees elected by shareholders would represent fewer than two-thirds of the members of the Board. Accordingly, a shareholder meeting to elect new Trustees is required. The Board believes it is appropriate for the sitting Trustees to also stand for election at this time. Your vote is important and can make a difference in the governance of the Funds. |
Q: | How were the nominees chosen? | |
A: | The Trust’s Governance and Nominating Committee, which is responsible for reviewing and making recommendations to the Board with respect to the composition of the Board, reviewed the requisite skills and criteria for new Trustees, and, in consultation with legal counsel for the Independent Trustees, conducted a search for qualified candidates for Board membership, interviewing candidates extensively, and seeking nominees who were both qualified and who would bring relevant expertise to the Board. The Governance and Nominating Committee selected and recommended, and the Board unanimously approved, the nominees in the proxy statement to stand for election. |
Q: | If the Trustee nominees are elected by shareholders, how many Board members will sit on the Board? |
A: | If all nominees are elected, the Board will consist of eight Trustees, six of whom would be “Independent Trustees.” Five of these individuals currently serve as Trustees; two will be new to the Board; and one was previously elected to the Board but resigned to maintain the Board’s composition of 75% Independent Trustees. Although not required by the 1940 Act to do so, the Board has undertaken to preserve the Board’s composition of at least 75% of Independent Trustees. (“Independent Trustees” are those Trustees who are not “interested persons” of the Trust, as that term is defined in the 1940 Act, the primary Federal Statute regulating mutual funds). |
Q: | Will the proposed changes result in higher fund expenses? | |
A: | Each Fund’s expenses will increase by a relatively immaterial amount. Each Independent Trustee receives compensation from the Funds he or she oversees in the form of an annual retainer and a fee for each Board, Governance and Nominating Committee, Compliance Committee, Contract Review Committee and Audit Committee meeting actually attended. The Board currently has five Independent Trustees and one interested Trustee, although historically there have been six Independent Trustees. If all the nominees are elected, the Board will consist of eight Board Members, six of whom will be Independent Trustees. Accordingly, the cost |
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to each Fund of Trustee compensation will increase if all nominees are elected. The amount of this increase to each individual Fund is expected to be immaterial. |
B. | PROPOSAL 2: FOR THE SHAREHOLDERS OF GOLDMAN SACHS REAL ESTATE SECURITIES FUND, GOLDMAN SACHS INTERNATIONAL REAL ESTATE SECURITIES FUND, GOLDMAN SACHS TOLLKEEPERSM FUND AND GOLDMAN SACHS CONCENTRATED INTERNATIONAL EQUITY FUND ONLY |
Q: | Why am I being asked to vote to change thesub-classification of the Fund from diversified tonon-diversified? |
A: | Based on the information provided by Goldman Sachs Asset Management, L.P. (“GSAM”), the investment advisor and administrator to Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund, Goldman Sachs Tollkeeper Fundsm and Goldman Sachs Asset Management International, the investment advisor and administrator to Goldman Sachs Concentrated International Equity Fund, to the Board and the recommendation of GSAM, the Board has determined that changing each Fund’ssub-classification to non-diversified would give the Fund’s investment adviser enhanced flexibility to invest in attractive issuers, which may benefit the Fund’s investment performance. |
C. | PROPOSAL 3: FOR THE SHAREHOLDERS OF GOLDMAN SACHS CALIFORNIA INTERMEDIATE AMT-FREE MUNICIPAL FUND AND NEW YORK INTERMEDIATE AMT-FREE MUNICIPAL FUND ONLY |
Q: | Why am I being asked to vote to remove the secondary investment objective of the Fund? | |
A: | The wording of each Fund’s secondary investment objective generally requires that (i) the Fund’s average credit quality equal AA/A+; and (ii) that the Fund maintain intermediate duration. The removal of each Fund’s secondary investment objective would permit each Fund and its portfolio managers to take advantage of market opportunities with respect to securities rated lower than AA/A+, but rated at least BBB/Baa at the time of purchase (in accordance with each Fund’s minimum credit quality), even if the purchase of those securities would cause the Fund’s average credit quality to vary at times from AA/A+. Proposal 3, if approved, would also remove any requirement that each Fund, as part of its investment objective, maintain an intermediate duration, which would allow the Fund’s portfolio managers some flexibility with respect to the average maturity of securities in the Fund’s portfolio. |
II. | GENERAL QUESTIONS |
Q: | What are the Boards’ recommendations? |
A: | The Board recommends that all shareholders vote “FOR” the nominees to the Board; that the shareholders of the Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund, Goldman Sachs Tollkeeper Fundsm and Goldman Sachs Concentrated International Equity Fund vote “FOR” Proposal 2, the change insub-classification of each Fund; and that the shareholders of the Goldman Sachs California Intermediate AMT-Free Municipal Fund and New York Intermediate AMT-Free Municipal Fund vote “FOR” Proposal 3, the removal of the secondary investment objective of each Fund. |
Q: | How can I vote? | |
A: | You can vote in any one of four ways: | |
• By mailing, with the enclosed proxy card after signing and dating; | ||
• Through the Internet by going to the Internet website indicated on your proxy card; | ||
• By telephone, with a toll free call to the number on your proxy card; or | ||
• In person at the Meeting. | ||
We encourage you to vote over the Internet by going to the Internet address provided on your enclosed proxy card or by telephone, by calling the toll-free number on your enclosed proxy card, in each case using the voting control number that appears on your proxy card. These voting methods will save your Fund money. However, whichever method you choose, please take the time to read the proxy statement before you vote. |
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Q: | I plan to vote by mail. How should I sign my proxy card? |
A: | Please see the instructions at the end of the Notice of Special Meeting of Shareholders, which is enclosed. |
Q: | I plan to vote through the Internet. How does Internet voting work? |
A: | To vote through the Internet, please log on to the Internet website indicated on your proxy card and follow the instructions provided on the Internet voting website. |
Q: | I plan to vote by telephone. How does telephone voting work? | |
A: | To vote by telephone, please call toll free the number on your proxy card from within the United States and follow the instructions provided during your call. | |
Q: | Whom should I call with questions? |
A: | If you have any additional questions about the proxy statement or the upcoming Meeting, please contact the Trust at1-800-621-2550. |
Q: | What is the relationship between the proxy solicitor, D.F. King & Co., and the Trust? |
A: | The Trust has retained an outside firm that specializes in proxy solicitation to assist it with the proxy solicitation process, the collection of the proxies, and with any necessaryfollow-up. The proxy solicitor is an independent firm that specializes in proxy mailings and solicitations. The proxy solicitor may contact shareholders on behalf of the Trust, but is not permitted to use personal information about shareholders for other purposes. |
THE ATTACHED PROXY STATEMENT CONTAINS MORE DETAILED INFORMATION
ABOUT THE PROPOSALS. PLEASE READ IT CAREFULLY.
ABOUT THE PROPOSALS. PLEASE READ IT CAREFULLY.
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GOLDMAN SACHS TRUST
71 South Wacker Drive
Chicago, Illinois 60606
71 South Wacker Drive
Chicago, Illinois 60606
NOTICE OF SPECIAL MEETING OF SHAREHOLDERS
To Be Held On August 3, 2007
To Be Held On August 3, 2007
May 25, 2007
To the Shareholders of Goldman Sachs Trust:
A Special Meeting of Shareholders (the “Meeting”) of the Goldman Sachs Trust (the “Trust”) will be held on August 3, 2007, at 2 P.M. (New York time) at the offices Goldman Sachs Asset Management, L.P. located at 32 Old Slip, 31st Floor, Conference Room A, New York, New York 10005 for the following purposes:
Matters to be voted upon by all Shareholders of each series of the Trust (each, a “Fund” and, collectively the “Funds”):
Proposal 1. | To elect eight Trustees of the Trust. |
Matters to be voted upon by Shareholders of each of Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund, Goldman Sachs Tollkeeper Fundsm and Goldman Sachs Concentrated International Equity Fund, each Fund’s shareholders to vote only with respect to that Fund:
Proposal 2. | To approve a change in the Fund’ssub-classification under the Investment Company Act of 1940 (“1940 Act”) from “diversified” to “non-diversified” and to eliminate a related fundamental investment restriction. |
Matters to be voted upon by Shareholders of each of Goldman Sachs California Intermediate AMT-Free Municipal Fund and New York Intermediate AMT-Free Municipal Fund, each Fund’s shareholders to vote only with respect to that Fund:
Proposal 3. | To approve the removal of the Fund’s secondary investment objective. |
Matters to be voted upon by all Shareholders of each Fund:
Proposal 4. | To transact such other business as may properly come before the Meeting or any adjournment or adjournments thereof. |
The matters referred to above are discussed in the Proxy Statement attached to this Notice. Holders of record at the close of business on May 14, 2007, the record date for the Meeting, are entitled to receive notice of and to vote at the Meeting and at any postponements or adjournments thereof. Each Shareholder is invited to attend the Meeting in person.Please note that if you plan to attend the Meeting, photographic identification will be required for admission. If you cannot be present at the Meeting, we urge you to sign, date and promptly return the enclosed proxy card in the envelope provided, which is addressed for your convenience and needs no postage if mailed in the United States. You may also vote easily and quickly by Internet or by telephone. In order to avoid the additional expense to the Trust of further solicitation, we ask your cooperation in returning your proxy promptly.
By Order of the Board of Trustees
of Goldman Sachs Trust
of Goldman Sachs Trust
![(-s- Peter V. Bonanno)](https://capedge.com/proxy/DEF 14A/0000950123-07-008213/y34926y3492602.gif)
Peter V. Bonanno
Secretary
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YOUR VOTE IS IMPORTANT
NO MATTER HOW MANY SHARES YOU OWN
NO MATTER HOW MANY SHARES YOU OWN
To secure the largest possible representation at the Meeting, please mark your proxy card, sign it, date it, and return it in the postage paid envelope provided (unless you are voting by Internet or by telephone).If you sign, date and return a proxy card but give no voting instructions, your shares will be voted “FOR” all of the proposals indicated on the card. If you prefer, you may instead vote via the Internet or by telephone. To vote in this manner, you should refer to the directions below.
To vote via the Internet, please access the Internet website found on your proxy card and follow the on-screen instructions on the website.
To vote by telephone, please call the toll-free number found on your proxy card from within the United States, and follow the recorded instructions (shareholders outside the United States should vote via the Internet or by submitting a proxy card instead).
You may revoke your proxy at any time at or before the Meeting, by submitting to the Secretary of the Trust at the Trust’s principal executive offices a written notice of revocation or subsequently executed proxy or by attending the Meeting and electing to vote in person.
INSTRUCTIONS FOR SIGNING PROXY CARDS
The following general guidelines for signing proxy cards may be of assistance to you and will help avoid the time and expense to the Trust involved in validating your vote if you fail to sign your proxy card properly.
1. | Individual Accounts: Sign your name exactly as it appears in the registration on the proxy card. | |
2. | Joint Accounts: Either party may sign, but the name of the party signing should conform exactly to the name shown in the registration on the proxy card. | |
3. | All Other Accounts: The capacity of the individual signing the proxy card should be indicated unless it is reflected in the form of registration. For example: |
Registration | Valid Signature | |
Corporate Accounts | ||
(1) ABC Corp. | ABC Corp. | |
John Doe, Treasurer | ||
(2) ABC Corp | John Doe, Treasurer | |
(3) ABC Corp. c/o John Doe, Treasurer | John Doe | |
(4) ABC Corp. Profit Sharing Plan | John Doe, Trustee | |
Partnership Accounts | ||
(1) The XYZ Partnership | Jane B. Smith, Partner | |
(2) Smith and Jones, Limited Partnership | Jane B. Smith, General Partner | |
Trust Accounts | ||
(1) ABC Trust Account | Jane B. Doe, Trustee | |
(2) Jane B. Doe, Trustee u/t/d12/18/98 | Jane B. Doe | |
Custodial or Estate Accounts | ||
(1) John B. Smith, Cust. f/b/o | ||
John B. Smith Jr. UGMA/UTMA | John B. Smith | |
(2) Estate of John B. Smith | John B. Smith, Jr., Executor |
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SPECIAL MEETING OF SHAREHOLDERS
OF
GOLDMAN SACHS TRUST
71 South Wacker Drive
Chicago, Illinois 60606
OF
GOLDMAN SACHS TRUST
71 South Wacker Drive
Chicago, Illinois 60606
PROXY STATEMENT
May 25, 2007
This Proxy Statement is furnished in connection with the solicitation of proxies by and on behalf of the Board of Trustees of Goldman Sachs Trust (the “Trust”) for use at the Trust’s Special Meeting of Shareholders to be held at the offices of Goldman Sachs Asset Management, L.P. (“GSAM”), 32 Old Slip, 31st Floor, Conference Room A, New York, New York 10005, on August 3, 2007, at 2 P.M. (New York time), or any adjournment thereof, for the purposes set forth in the accompanying Notice of Meeting. Such meeting and any postponement or adjournment thereof are referred to as the “Meeting.” Please note that if you plan to attend the Meeting, photographic identification will be required for admission. This Proxy Statement, the accompanying Notice of Special Meeting of Shareholders, and the accompanying proxy card are being mailed to shareholders on or about June 1, 2007.
The Trustees have fixed the close of business on May 14, 2007 as the record date for the determination of shareholders entitled to notice of, and to vote at, the Meeting and at any postponement or adjournment thereof (the “Record Date”). Shareholders of record of the Trust on the Record Date are entitled to one vote per share at the Meeting. Exhibit A to this Proxy Statement sets forth the number of shares of beneficial interest of each investment portfolio (“Fund”) of the Trust outstanding as of the Record Date. Exhibit B to this Proxy Statement sets forth the persons who owned beneficially more than 5% of any Fund as of May 14, 2007.
It is expected that the solicitation of proxies will be primarily by mail. However, the Trust’s officers, and personnel of the Funds’ investment advisers and transfer agent and authorized proxy solicitation agent may also solicit proxies by telephone, facsimile, Internet or in person. If the Trust records votes through the Internet or by telephone, it will use procedures designed to authenticate shareholders’ identities, to allow shareholders to authorize the voting of their shares in accordance with their instructions, and to confirm that their identities have been properly recorded. The Funds will pay their pro-rata share of the expenses associated with this Proxy Statement and solicitation. The Trust has engaged D.F. King & Co., an independent proxy solicitation firm, to assist in soliciting proxies. The cost of D.F. King & Co.’s services with respect to the Trust is estimated to be $192,971, plus reasonableout-of-pocket expenses.
To vote by mail, sign, date and promptly return the enclosed proxy card in the accompanying postage pre-paid envelope. If you vote by Internet or telephone, please use the control number on your proxy card and follow the instructions as described on your proxy card. If you have any questions regarding the proxy materials, please contact the Trust at1-800-621-2550.If the enclosed proxy card is properly executed and received prior to the Meeting and has not been revoked, the shares represented thereby will be voted in accordance with the instructions marked on the returned proxy card or, if no instructions are marked on the returned proxy card, the proxy card will be voted FOR the election of the Trustee Nominees described in this Proxy Statement; FOR Proposal 2 and/or Proposal 3, if applicable; and in the discretion of the persons named above as proxies, in connection with any other matter that may properly come before the Meeting or any adjournment(s) or postponement(s) thereof.
Any person giving a proxy may revoke it at any time before it is exercised by submitting to the Secretary of the Trust at the Trust’s principal executive offices a written notice of revocation or subsequently executed proxy or by attending the Meeting and electing to vote in person.
If (i) you are a member of a household in which multiple shareholders of the Trust share the same address, (ii) your shares are held in “street name” and (iii) your broker or bank has received consent to household material, then your broker or bank may have sent to your household only one copy of this Proxy Statement, unless your broker or bank previously received contrary instructions from a shareholder in your household. If you are part of a household that has received only one copy of this Proxy Statement, the Trust will deliver promptly a separate copy of this Proxy Statement to you upon written or oral request. To receive a separate copy of this Proxy Statement, please contact the Trust by calling toll free1-800-621-2550 or by mail at Goldman Sachs Funds, P.O. Box 06050, Chicago, Illinois60606-6306. If your shares are held in street name and you would like to receive a separate copy of future proxy statements, prospectuses or annual reports or you are now receiving multiple copies of these documents and would like to receive a single copy in the future, please contact your broker or bank.
COPIES OF EACH FUND’S MOST RECENT ANNUAL AND SEMI-ANNUAL REPORT, INCLUDING FINANCIAL STATEMENTS, HAVE PREVIOUSLY BEEN MAILED TO SHAREHOLDERS. THE TRUST WILL FURNISH TO ANY SHAREHOLDER UPON REQUEST, WITHOUT CHARGE, AN ADDITIONAL COPY OF ANY FUND’S MOST RECENT ANNUAL REPORT AND SUBSEQUENT SEMI-ANNUAL REPORT TO SHAREHOLDERS. ANNUAL REPORTS AND SEMI-ANNUAL REPORTS TO SHAREHOLDERS MAY BE OBTAINED BY WRITING TO: GOLDMAN SACHS TRUST, P.O. BOX 06050, CHICAGO, ILLINOIS60606-6306; OR BY TELEPHONE TOLL-FREEAT: 1-800-621-2550.
PROPOSAL 1: ELECTION OF TRUSTEES
All Funds listed in Exhibit A
The Proposal relates to the election of members of the Board of Trustees of the Trust (the “Board”). At a meeting held on May 9-10, 2007, the Trustees, including the Trustees who are not “interested persons” (as defined by the Investment Company Act of 1940 (the “1940 Act”)) of the Trust (the “Independent Trustees”), voted to approve and to recommend to the shareholders that they elect eight Trustees (the “Nominees”) to the Board. If elected (or re-elected, as the case may be) by shareholders at the Meeting, the Nominees will hold office for an indefinite term. The Board would be able to fill future vacancies by appointment (subject to the requirements of the 1940 Act that at least two-thirds of the Trustees holding office must have been elected by shareholders) without incurring the additional expense associated with calling shareholder meetings to fill those vacancies.
In 2002, nine Trustees were elected by shareholders. Since then, however, four of those Trustees have, at various times, left the Board as a result of retirement or resignation. Four of the Nominees (Messrs. Bakhru, Harker, Strubel and Shuch) were previously elected by the Trust’s shareholders in 2002 and are standing for re-election by shareholders at the Meeting. One of the Nominees (Mr. Coblentz) has been previously appointed as Trustee by the Board and is standing for election by shareholders for the first time. One of the Nominees (Ms. Uniacke) was previously elected by the Trust’s shareholders in 2002, but resigned on January 1, 2007 to preserve the Board’s composition of at least 75% Independent Trustees. Although not required by the 1940 Act to do so, the Board has undertaken to preserve the Board’s composition of at least 75% of Independent Trustees. Ms. Uniacke is now standing for election by shareholders. Two of the other Nominees (Ms. Daniels and Ms. Palmer) do not currently serve on the Board.
Information concerning the Nominees and other relevant factors is provided below. Using the enclosed proxy card or voting by the Internet or by telephone, a shareholder may authorize proxies to vote his or her shares for the Nominees or may withhold from the proxies authority to vote his or her shares for one or more of the Nominees. If no contrary instructions are given, the proxies will vote FOR the Nominees. Each of the Nominees has consented to his or her nomination and has agreed to serve if elected or re-elected. If, at the time of the Meeting or any subsequent adjournment or postponement, for any reason, any Nominee is not available for election or able to serve as a Trustee, the proxies will exercise their voting power in favor of such substitute Nominee, if any, as the Trustees may designate. The Trust has no reason to believe that it will be necessary to designate a substitute Nominee. The Trust proposes the election by all of its shareholders of the eight nominees named in the table below to comprise its Board.
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The Trust’s Governance and Nominating Committee, which is responsible for reviewing and making recommendations to the Board with respect to the composition of the Board, reviewed the requisite skills and criteria for new Trustees, and, in consultation with legal counsel for the Independent Trustees, conducted a search for qualified candidates for Board membership, interviewing candidates, and seeking nominees who were both qualified and who would bring relevant expertise to the Board. The Governance and Nominating Committee selected and recommended, and the Board approved, the nominees described in the proxy statement to stand for election.
The following table sets forth the names of the Nominees, their addresses, their ages, term of office (including length of time served as a Trustee), principal occupations for at least the past five years, any other directorships they hold in companies which are subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or are registered as investment companies under the 1940 Act, and the number of portfolios in the Goldman Sachs Fund Complex (as defined below) that they oversee (or will oversee if elected). Nominees who are not deemed to be “interested persons” of the Trust (as defined in the 1940 Act) are referred to as “Independent Trustees.” Trustees who are deemed to be “interested persons” of the Trust are referred to as “Interested Trustees.”
Nominees as Independent Trustees
Number of | ||||||||||
Portfolios in | Other | |||||||||
Position(s) | Term of Office | Fund Complex | Directorships | |||||||
Held with | and Length of | Principal Occupation(s) | Overseen by | Held by | ||||||
Name, Address and Age(1) | the Trust | Time Served(2) | During Past 5 Years | Trustee(4) | Trustee(5) | |||||
Ashok N. Bakhru Age: 64 | Chairman & Trustee | Since 1991 | President, ABN Associates (July 1994-March 1996 and November 1998 — Present); Executive Vice President — Finance and Administration and Chief Financial Officer and Director, Coty Inc. (manufacturer of fragrances and cosmetics) (April 1996-November 1998); Director of Arkwright Mutual Insurance Company (1984-1999); Trustee of International House of Philadelphia (program center and residential community for students and professional trainees from the United States and foreign countries) (1989-2004); Member of Cornell University Council (1992-2004) and (2006-Present); Trustee of the Walnut Street Theater (1992-2004); Trustee, Scholarship America (1998-2005); Trustee, Institute for Higher Education Policy (2003-Present); Director, Private Equity Investors — III and IV (November 1998-Present), and Equity-Limited Investors II (April 2002-Present); and Chairman, Lenders Service Inc. (provider of mortgage lending services) (2000-2003). | 97 | None | |||||
Chairman of the Board of Trustees — Goldman Sachs Mutual Fund Complex (registered investment companies). |
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Number of | ||||||||||
Portfolios in | Other | |||||||||
Position(s) | Term of Office | Fund Complex | Directorships | |||||||
Held with | and Length of | Principal Occupation(s) | Overseen by | Held by | ||||||
Name, Address and Age(1) | the Trust | Time Served(2) | During Past 5 Years | Trustee(4) | Trustee(5) | |||||
John P. Coblentz, Jr. Age: 65 | Trustee | Since 2003 | Partner, Deloitte & Touche LLP (June 1975-May 2003); Director, Emerging Markets Group, Ltd. (2004-2006); Director, Elderhostel, Inc. (2006-Present). | 97 | None | |||||
Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||||||
Patrick T. Harker Age: 48 | Trustee | Since 2000 | President, University of Delaware (to assume role July 2007); Dean and Reliance Professor of Operations and Information Management, The Wharton School, University of Pennsylvania (February 2000-June 2007); Interim and Deputy Dean, The Wharton School, University of Pennsylvania (July 1999-January 2000); and Professor and Chairman of Department of Operations and Information Management, The Wharton School, University of Pennsylvania (July 1997-August 2000). | 97 | None | |||||
Trustee-Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||||||
Richard P. Strubel Age: 67 | Trustee | Since 1987 | Vice Chairman and Director, Cardean Learning Group (provider of educational services via the Internet) (2003-Present); President, COO and Director, Cardean Learning Group (1999-2003); Director, Cantilever Technologies, Inc. (a private software company) (1999-2005); Trustee, The University of Chicago (1987-Present); and Managing Director, Tandem Partners, Inc. (management services firm) (1990-1999). Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies). | 97 | Gildan Activewear Inc. (a clothing marketing and manufacturing company); Cardean Learning Group (provider of educational services via the Internet); Trustee, Northern Mutual Fund Complex (58 Portfolios). |
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Number of | ||||||||||
Portfolios in | Other | |||||||||
Position(s) | Term of Office | Fund Complex | Directorships | |||||||
Held with | and Length of | Principal Occupation(s) | Overseen by | Held by | ||||||
Name, Address and Age(1) | the Trust | Time Served(2) | During Past 5 Years | Trustee(4) | Trustee(5) | |||||
Diana M. Daniels Age: 57 | Nominee | N/A | Ms. Daniels is retired (since January 2006). Formerly, she was Vice President, General Counsel and Secretary, The Washington Post Company (1991-2006). Ms. Daniels is a Member of the Corporate Advisory Board, Standish Mellon Management Advisors (2006-Present); Chairman of the Executive Committee, Cornell University (2006-Present); Member, Advisory Board, Psychology Without Borders (international humanitarian and organization) (since 2007), and former Member of the Legal Advisory Board, New York Stock Exchange (2003-2006). | 97 | None | |||||
Jessica Palmer Age: 58 | Nominee | N/A | Ms. Palmer is retired (since 2006). Formerly, she was Managing Director, Citigroup Corporate and Investment Banking (previously, Salomon Smith Barney/Salomon Brothers) (1984-2006). Ms. Palmer is a Member of the Board of Trustees of Indian Mountain School (private elementary and secondary school) (since 2004). | 97 | None |
5
Nominees as Interested Trustees
Number of | ||||||||||
Portfolios in | Other | |||||||||
Position(s) | Term of Office | Fund Complex | Directorships | |||||||
Name, | Held with | and Length of | Principal Occupation(s) | Overseen by | Held by | |||||
Address and Age(1) | the Trust | Time Served(2) | During Past 5 Years | Trustee(3) | Trustee(4) | |||||
*Alan A. Shuch Age: 57 | Trustee | Since 1990 | Advisory Director — GSAM (May 1999- Present); Consultant to GSAM (December 1994-May 1999); and Limited Partner, Goldman Sachs (December 1994-May 1999). | 97 | None | |||||
Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||||||
*Kaysie P. Uniacke Age: 46 | President & Nominee | President Since 2002 | Managing Director, Goldman Sachs (1997- Present). | 97 | None | |||||
Trustee From 2001 to January 2007 | Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||||||||
Nominated to be Elected as Trustee in 2007 | President — Goldman Sachs Mutual Fund Complex (2002-Present) (registered investment companies). | |||||||||
Assistant Secretary — Goldman Sachs Mutual Fund Complex (1997-2002) ( registered investment companies). | ||||||||||
Trustee — Gettysburg College. |
* | These persons are considered to be “Interested Trustees” because they hold positions with Goldman Sachs and own securities issued by The Goldman Sachs Group, Inc. In addition to the principal occupations set forth above, each Interested Trustee holds comparable positions with certain other companies of which Goldman Sachs, GSAM or an affiliate thereof is the investment adviser, administratorand/or distributor. | |
(1) | Each Trustee may be contacted by writing to the Trustee, c/o Goldman, Sachs & Co., One New York Plaza, 37th Floor, New York, New York 10004, Attn: Peter V. Bonanno. | |
(2) | Each Trustee holds office for an indefinite term until the earliest of: (a) the election of his or her successor; (b) the date the Trustee resigns or is removed by the Board or shareholders, in accordance with the Trust’s Declaration of Trust; (c) in accordance with the current resolutions of the Board (which may be changed by the Trustees without shareholder vote), the date the Trustee attains the age of 72 years; or (d) the termination of the Trust. |
(3) | The Goldman Sachs Mutual Fund Complex consists of the Trust and Goldman Sachs Variable Insurance Trust. As of May 10, 2007, the Trust consisted of 85 portfolios, 67 of which have commenced investment operations, and Goldman Sachs Variable Insurance Trust consisted of 12 portfolios, 11 of which have commenced investment operations. |
(4) | This column includes only directorships of companies required to report to the Securities and Exchange Commission under the Exchange Act (i.e., “public companies”) or other investment companies registered under the 1940 Act. |
Information Concerning Meetings of Trustees and Standing Board Committees
In the following discussion, the Funds are classified into several groups (as defined in Exhibit A hereto): Equity Funds, Flex Portfolios, Fixed Income Funds, Asset Allocation Portfolios, Money Market Funds and Specialty Funds.
The Funds have three separate fiscal reporting periods. The Equity Funds have an August 31 fiscal year end, the Fixed Income Funds and Flex Portfolios have an October 31 fiscal year end, and the Money Market Funds, Specialty Funds and Asset Allocation Portfolios have a December 31 fiscal year end. Because these fiscal reporting periods overlap each other, information provided with respect to the fiscal year end of certain Funds may overlap that provided with respect to other Funds.
The Trustees held eight meetings during the fiscal year ended August 31, 2006, seven meetings during the fiscal year ended October 31, 2006 and seven meetings during the fiscal year ended December 31, 2006. No Trustee
6
attended fewer than seventy-five percent of the meetings held by the Board or by any committee of which he or she was a member while he or she was a Trustee during any such year. The Trust does not hold annual meetings of shareholders, and therefore does not have a policy regarding attendance of Trustees at annual meetings of shareholders.
The Board has established six standing committees in connection with its governance of the Trust — Audit, Governance and Nominating, Compliance, Valuation, Dividend and Contract Review.
The Audit Committee oversees the accounting and financial reporting process of the Funds and provides assistance to the full Board with respect to fund accounting, tax compliance and financial statement matters. In performing its responsibilities, the Audit Committee selects and recommends annually to the entire Board an independent registered public accounting firm to audit the books and records of the Trust for the ensuing year, and reviews with the firm the scope and results of each audit. All of the Independent Trustees serve on the Audit Committee. Mr. Bakhru is the chair of the Audit Committee. Mr. Coblentz is the financial expert on the Audit Committee. The Audit Committee held three meetings during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006.
The Governance and Nominating Committee has been established to: (i) assist the Board in matters involving mutual fund governance and industry best practices; (ii) select and nominate candidates for appointment or election to serve as Trustees who are not “interested persons” of the Trust; and (iii) advise the Board on ways to improve its effectiveness. All of the Independent Trustees serve on the Governance and Nominating Committee. The Governance and Nominating Committee held three meetings during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006. As stated above, each Trustee holds office for an indefinite term until the occurrence of certain events. The Governance and Nominating Committee acts pursuant to a written charter, a copy of which is attached hereto as Exhibit C.
In connection with the selection and nomination of candidates to the Board, the Governance and Nominating Committee evaluates the qualifications of candidates for Board membership and their independence from the Trust’s investment advisers and other principal service providers. Persons selected as Independent Trustee candidates must be independent in terms of both the letter and the spirit of the 1940 Act. In this regard, with respect to Independent Trustee candidates, the Governance and Nominating Committee considers the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment advisers or other service providers). Without limiting the foregoing, the Governance and Nominating Committee considers, among other criteria, a candidate’s: (a) experience in business, financial or investment matters or in other fields of endeavor; (b) reputation; (c) ability to attend scheduled Board and committee meetings; (d) general availability to attend to Board business on short notice; (e) actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Trust; (f) length of potential service; (g) commitment to the representation of the interests of the Funds and their shareholders; (h) commitment to maintaining and improving Trustee skills and education; and (i) experience in corporate governance and best business practices. In filling Board vacancies, the Governance and Nominating Committee will consider nominees recommended by shareholders. Nominee recommendations should be submitted to the Trust at its mailing address stated in the Funds’ Prospectuses and should be directed to the attention of Goldman Sachs Trust Governance and Nominating Committee. Shareholders can send other Board communications to the Governance and Nominating Committee c/o Peter V. Bonanno, Goldman Sachs & Co., One New York Plaza, 37th Floor, New York, New York 10004. In considering the selection and nomination of Independent Trustee candidates, it is expected that the Governance and Nominating Committee will consult with the interested Trustees of the Trust and such other persons as the Governance and Nominating Committee deems appropriate.
The Compliance Committee has been established for the purpose of overseeing the compliance processes of the Funds and, insofar as they relate to services provided to the Funds, of the Funds’ investment advisers, distributor, administrator and transfer agent (except that compliance processes relating to the accounting and financial reporting processes, and certain related matters, are overseen by the Audit Committee). In addition, the Compliance Committee provides assistance to the full Board with respect to compliance matters. The Compliance Committee
7
met four times during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006. All of the Independent Trustees serve on the Compliance Committee.
The Valuation Committee is authorized to act for the Board in connection with the valuation of portfolio securities held by the Funds in accordance with the Trust’s Valuation Procedures. Mr. Shuch and Ms. Uniacke, as an officer of the Trust, serve on the Valuation Committee. The Valuation Committee met twelve times during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006.
The Dividend Committee is authorized to declare dividends and capital gain distributions consistent with each Fund’s Prospectus. John Perlowski, Treasurer of the Trust, and Ms. Uniacke, President of the Trust, serve on the Dividend Committee. The Dividend Committee met twelve times during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006.
The Contract Review Committee has been established for the purpose of overseeing the processes of the Board for approving and monitoring the Funds’ investment management, distribution, transfer agency and other agreements with the Funds’ investment advisers and their affiliates. The Contract Review Committee is also responsible for overseeing the Board’s processes for approving and reviewing the operation of the Funds’ distribution, service, shareholder administration and other plans, and any agreements related to the plans, whether or not such plans and agreements are adopted pursuant toRule 12b-1 under the 1940 Act. The Contract Review Committee provides appropriate assistance to the Board in connection with the Board’s approval, oversight and review of the Funds’ other service providers including, without limitation, the Funds’ custodian/accounting agent,sub-transfer agents, professional (legal and accounting) firms and printing firms. The Contract Review Committee met three times during each of the fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006. All of the Independent Trustees serve on the Contract Review Committee.
Board Compensation
The Trust pays each Independent Trustee an annual fee for his or her services as a Trustee of the Trust, plus an additional fee for each regular and special telephonic Board, Audit Committee, Governance and Nominating Committee, Compliance Committee and/or Contract Review Committee meeting actually attended by such Independent Trustee. The Independent Trustees are also reimbursed for travel expenses incurred in connection with attending such meetings. The Trust may also pay the incidental costs of an Independent Trustee to attend training or other types of conferences relating to the investment company industry.
8
As noted above, the Funds have three separate fiscal reporting periods. The Equity Funds have an August 31 fiscal year end, the Fixed Income Funds and Flex Portfolios have an October 31 fiscal year end, and the Money Market Funds, Specialty Funds and Asset Allocation Portfolios have a December 31 fiscal year end. The following table sets forth certain information with respect to the compensation of each Independent Trustee for the Trust’s respective fiscal years ended August 31, 2006, October 31, 2006 and December 31, 2006. Please note that these three fiscal years overlap each other and, therefore, the same Trustee compensation appears multiple times in the last three rows of the table. The total compensation paid to each Trustee with respect to all portfolios in the Fund Complex for any twelve-month period is the amount that appears in the appropriate row.
Compensation Table*
Amounts Paid During the Most Recent Fiscal | Ashok N. | John P. | Patrick T. | Mary P. | Richard P. | Wilma P. | ||||||||||||||||||
Year from Company to Board Members | Bakhru(1) | Coblentz | Harker | McPherson(2) | Strubel | Smelcer(3) | ||||||||||||||||||
Aggregate Compensation From the Asset Allocation Portfolios(12/31/06) | $ | 12,956 | $ | 8,684 | $ | 8,684 | $ | 8,684 | $ | 8,684 | $ | 8,684 | ||||||||||||
Aggregate Compensation from the Equity Funds(8/31/06) | $ | 68,019 | $ | 45,591 | $ | 45,591 | $ | 45,591 | $ | 45,591 | $ | 45,591 | ||||||||||||
Aggregate Compensation from the Fixed Income Funds(10/31/06) | $ | 55,063 | $ | 36,907 | $ | 36,907 | $ | 36,907 | $ | 36,907 | $ | 36,907 | ||||||||||||
Aggregate Compensation from the Flex Portfolios(10/31/06) | $ | 6,478 | $ | 4,342 | $ | 4,342 | $ | 4,342 | $ | 4,342 | $ | 4,342 | ||||||||||||
Aggregate Compensation from the Money Market Funds(12/31/06) | $ | 51,824 | $ | 34,736 | $ | 34,736 | $ | 34,736 | $ | 34,736 | $ | 34,736 | ||||||||||||
Aggregate Compensation from the Specialty Funds(12/31/06) | $ | 16,195 | $ | 10,855 | $ | 10,855 | $ | 10,855 | $ | 10,855 | $ | 10,855 | ||||||||||||
Pension or Retirement Benefits Accrued as Part of the Trust’s Expenses (all fiscal years) | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | $ | 0 | ||||||||||||
Total Compensation From Fund Complex (including the Funds†) (for the fiscal year ended8/31/06) | $ | 255,400 | $ | 177,400 | $ | 169,000 | $ | 177,400 | $ | 177,400 | $ | 177,400 | ||||||||||||
Total Compensation From Fund Complex (including the Funds†) (for the fiscal year ended10/31/06) | $ | 310,200 | $ | 211,500 | $ | 202,500 | $ | 211,500 | $ | 211,500 | $ | 211,500 | ||||||||||||
Total Compensation From Fund Complex (including the Funds†) (for the fiscal year ended12/31/06) | $ | 250,200 | $ | 169,000 | $ | 161,000 | $ | 169,000 | $ | 169,000 | $ | 169,000 |
* | Only Independent Trustees are compensated by the Funds; directors who are “interested persons,” as defined by the 1940 Act, do not receive compensation from the Funds. |
† | The Fund Complex consists of the Trust and Goldman Sachs Variable Insurance Trust. The Trust consisted of 85 portfolios, 67 of which have commenced investment operations, and the Goldman Sachs Variable Insurance Trust consisted of 12 portfolios, 11 of which have commenced investment operations, as of May 10, 2007. |
(1) | Includes compensation as Board Chairman. | |
(2) | Ms. McPherson will be retiring in June 2007. Ms. McPherson is not standing for re-election. | |
(3) | Ms. Smelcer resigned from the Board on January 1, 2007. Ms. Smelcer is not standing for re-election. |
9
NOMINEE OWNERSHIP OF FUND SHARES
The following table shows the dollar range of shares beneficially owned by each Nominee in the investment portfolios of the Trust:
Aggregate Dollar Range | ||||
of Equity Securities | ||||
in All Portfolios in | ||||
Fund Complex | ||||
Dollar Range of | Overseen | |||
Name of Nominee | Equity Securities in Each Fund(1) | By Nominee(2) | ||
Independent Trustees | ||||
Ashok N. Bakhru(2) | Goldman Sachs High Yield Fund: Over $100,000 | Over $100,000 | ||
Goldman Sachs Capital Growth Fund: Over $100,000 | ||||
Goldman Sachs Structured U.S. Equity Fund: Over $100,000 | ||||
Goldman Sachs Mid Cap Value Fund: Over $100,000 | ||||
John P. Coblentz, Jr. | Goldman Sachs Mid Cap Value Fund: Over $100,000 | Over $100,000 | ||
Goldman Sachs High Yield Fund: Over $100,000 | ||||
Goldman Sachs Large Cap Value Fund: $10,001-$50,000 | ||||
Goldman Sachs Small Cap Value Fund: $50,001-$100,000 | ||||
Goldman Sachs Emerging Markets Equity Fund:$50,001-$100,000 | ||||
Goldman Sachs Real Estate Securities Fund:$50,001-$100,000 | ||||
Patrick T. Harker | Goldman Sachs Capital Growth Fund: $50,001-$100,000 | Over $100,000 | ||
Goldman Sachs Mid Cap Value Fund:$50,001-$100,000 | ||||
Goldman Sachs Small Cap Value Fund:$50,001-$100,000 | ||||
Goldman Sachs Real Estate Securities Fund:$50,001-$100,000 | ||||
Goldman Sachs Growth and Income Fund:$50,001-$100,000 | ||||
Goldman Sachs Structured International Equity Fund:$10,001-$50,000 | ||||
Richard P. Strubel | Goldman Sachs Institutional Liquid Assets Prime Obligations Portfolio: Over $100,000 | Over $100,000 | ||
Goldman Sachs Small Cap Value Fund: Over $100,000 | ||||
Goldman Sachs Mid Cap Value Fund: Over $100,000 | ||||
Diana M. Daniels | None | None | ||
Jessica Palmer | None | None | ||
Interested Trustees | ||||
Alan A. Shuch | Goldman Sachs-Financial Square Federal Fund: Over $100,000 | Over $100,000 | ||
Goldman Sachs Capital Growth Fund: Over $100,000 | ||||
Goldman Sachs Mid Cap Value Fund: Over $100,000 | ||||
Kaysie P. Uniacke | Goldman Sachs Capital Growth Fund: Over $100,000 | Over $100,000 | ||
Goldman Sachs Large Cap Value Fund: Over $100,000 | ||||
Goldman Sachs-Financial Square Tax-Free Money Market Fund: Over $100,000 | ||||
Goldman Sachs High Yield Municipal Fund: Over $100,000 |
(1) | Includes the value of shares beneficially owned by each Nominee in the portfolios of the Trust as of December 31, 2006. |
(2) | The Fund Complex includes the Trust and Goldman Sachs Variable Insurance Trust. As of May 10, 2007, the Trust consisted of 85 portfolios, 67 of which have commenced investment operations, and Goldman Sachs Variable Insurance Trust consisted of 12 portfolios, 11 of which have commenced investment operations. |
None of the Nominees or officers of the Trust beneficially owned individually, nor did the Nominees or officers beneficially own as a group, in excess of one percent of the outstanding shares of any of the Funds as of May 14, 2007.
THE TRUSTEES UNANIMOUSLY RECOMMEND THAT YOU VOTE IN FAVOR OF EACH
NOMINEE LISTED ABOVE.
NOMINEE LISTED ABOVE.
10
PROPOSAL 2:
Approval of Change in the
Sub-Classification under the Investment Company Act of 1940
From a Diversified to a Non-Diversified Company and
Elimination of a Related Investment Restriction
Sub-Classification under the Investment Company Act of 1940
From a Diversified to a Non-Diversified Company and
Elimination of a Related Investment Restriction
Goldman Sachs Real Estate Securities Fund,
Goldman Sachs International Real Estate Securities Fund,
Goldman Sachs Tollkeeper Fundsm and
Goldman Sachs Concentrated International Equity Fund
(each, a “Proposal 2 Fund, and collectively, the “Proposal 2 Funds”)
Goldman Sachs International Real Estate Securities Fund,
Goldman Sachs Tollkeeper Fundsm and
Goldman Sachs Concentrated International Equity Fund
(each, a “Proposal 2 Fund, and collectively, the “Proposal 2 Funds”)
Each of the Proposal 2 Funds is currentlysub-classified as a “diversified” fund for purposes of Section 5(b)(1) of the 1940 Act. As a diversified fund, each Proposal 2 Fund is limited as to the amount it may invest in any single issuer. Specifically, with respect to 75% of its total assets, each Proposal 2 Fund currently may not invest in a security if, as a result of such investment, more than 5% of its total assets (calculated at the time of purchase) would be invested in securities of any one issuer. In addition, with respect to 75% of its total assets, each Proposal 2 Fund may not hold more than 10% of the outstanding voting securities of any one issuer. The restrictions in Section 5(b)(1) do not apply to U.S. government securities, securities of other investment companies, cash and cash items.
Each Proposal 2 Fund currently has in place a fundamental investment limitation with respect to diversification. This limitation (which may only be changed with shareholder approval) provides that the Fund “may not make any investment inconsistent with the Fund’s classification as a diversified company under the 1940 Act.”
At the Meeting, shareholders of each Proposal 2 Fund will be asked to approve a change in thesub-classification of each Proposal 2 Fund under the 1940 Act from a “diversified” fund to a “non-diversified” fund and to eliminate the investment limitation quoted above. If approved, each Proposal 2 Fund will no longer be subject to the diversification limitation discussed above.
Changing each Proposal 2 Fund’s status to non-diversified would provide the Fund’s investment adviser with enhanced flexibility in managing the assets of the Fund. The Goldman Sachs Real Estate Securities Fund, Goldman Sachs International Real Estate Securities Fund and Goldman Sachs Tollkeeper Fundsm all invest substantially in areas of relatively limited investment opportunity, whether in the real estate industry or in high-quality technology companies. The number of attractive issuers in these areas is relatively limited, and each Fund’s ability to invest in attractive issuers in these areas is restricted by the limitations imposed by itssub-classification as a diversified fund under the 1940 Act. The Goldman Sachs Concentrated International Equity Fund invests in companies within developed and emerging countries outside the U.S. The Fund aims to hold a concentrated portfolio of30-45 securities. The portfolio managers believe that, by concentrating the Fund’s investments, they may achieve better performance. In order to concentrate in such a manner, the portfolio managers need the additional flexibility that a non-diversified fund provides. If Proposal 2 is approved by a Proposal 2 Fund’s shareholders at the Meeting, that Proposal 2 Fund would be permitted to invest a greater portion of its assets in fewer issuers. However, despite this added flexibility, shareholders should note that if the change in each Proposal 2 Fund’ssub-classification to “non-diversified” is approved, the Fund’s investment risk may also increase. This is because the investment return on a non-diversified fund typically is dependent upon the performance of a smaller number of securities relative to the number held in a diversified fund. A non-diversified fund can invest a greater portion of its assets in a single issuer and may invest in a smaller number of issuers than a diversified fund. Consequently, a non-diversified fund may be more susceptible to adverse developments affecting any single issuer held in its portfolio than a diversified fund, and may be more susceptible to greater losses because of these developments. Accordingly, if Proposal 2 is approved on behalf of each Proposal 2 Fund, each Fund would be subject to greater risk than it currently is subject to as a diversified Fund.
It should be noted that, although each Proposal 2 Fund would no longer be subject to the 1940 Act diversification restrictions if shareholders approve the proposal at the Meeting, each Proposal 2 Fund will continue to be subject to Federal tax diversification restrictions of Subchapter M of the Internal Revenue Code of 1986, as amended (the “IRC”). For purposes of the IRC, each Proposal 2 Fund operates as a “regulated investment company.”
11
As such, each Proposal 2 Fund must meet certain diversification requirements, including the requirement that, in general, at least 50% of the market value of the Fund’s total assets at the end of each tax year quarter must be invested in cash, cash equivalents, U.S. government securities, securities of other regulated investment companies, and securities of issuers (including foreign governments) with respect to which each Fund has invested no more than 5% of its total assets in securities of any one issuer and owns no more than 10% of the outstanding voting securities of any issuer. Each Fund also must invest no more than 25% of the value of its total assets in securities (other than U.S. government securities and securities of other regulated investment companies) of any one issuer or of two or more issuers that each Fund controls and are engaged in the same, similar or related trades or businesses. These limits apply only as of the end of each quarter of each Proposal 2 Fund’s fiscal year. These Federal tax diversification requirements, or each Fund’s determination to comply with them, may change in the future without shareholder approval.
Note that you are being asked to approve Proposal 2 only with respect to the Proposal 2 Fund(s) of which you currently own shares. Proposal 2 will be voted upon separately by shareholders of each Proposal 2 Fund. A vote for Proposal 2 with respect to one Fund will not affect the approval of Proposal 2 with respect to any other Proposal 2 Funds.
At a meeting held on May 9-10, 2007, the Board considered the recommendation of each Proposal 2 Fund’s investment adviser to change each Fund’ssub-classification under the 1940 Act to a non-diversified company and to eliminate each Fund’s related investment restriction. The Board considered all relevant factors, including the potential impact of Proposal 2 on each Proposal 2 Fund. Following its consideration of these matters, the Board unanimously approved the proposed change in each Proposal 2 Fund’ssub-classification to “non-diversified” and the elimination of each Proposal 2 Fund’s related investment restriction, and unanimously recommended that the proposed change also be approved by shareholders at the Meeting.
THE TRUSTEES UNANIMOUSLY RECOMMEND THAT YOU VOTE IN FAVOR OF PROPOSAL 2.
* * *
12
PROPOSAL 3:
Approval of Removal of Secondary Investment Objective
Goldman Sachs California Intermediate AMT-Free Municipal Fund (‘‘CA Fund”)*
Goldman Sachs New York Intermediate AMT-Free Municipal Fund (‘‘NY Fund”)**
(each a ‘‘Proposal 3 Fund”, and collectively, the ‘‘Proposal 3 Funds”)
Goldman Sachs New York Intermediate AMT-Free Municipal Fund (‘‘NY Fund”)**
(each a ‘‘Proposal 3 Fund”, and collectively, the ‘‘Proposal 3 Funds”)
Each Proposal 3 Fund seeks, as a primary investment objective, a high level of current income that is exempt from regular federal income tax, is not a tax preference item under the federal alternative minimum tax, is exempt from California State personal income tax (in the case of the CA Fund) or from New York State and City personal income taxes (in the case of the NY Fund), and is consistent with preservation of capital. Each Proposal 3 Fund also seeks, as a secondary investment objective, to maximize after-tax total return consistent with the Fund’s intermediate duration and AA/A+ credit quality.1
Each Proposal 3 Fund’s secondary investment objective generally requires (i) that the Fund’s average credit quality be AA/A+; and (ii) that the Fund maintain intermediate duration. At the Meeting, shareholders of each Proposal 3 Fund will be asked to approve a proposal to remove the Fund’s secondary investment objective, thereby eliminating these requirements and providing the Fund’s portfolio managers with additional flexibility in managing the Fund’s portfolio. Each Proposal 3 Fund’s primary investment objective will remain unchanged.
Each Proposal 3 Fund has maintained an average credit quality of AA/A+ or better in the past. However, if Proposal 3 is approved, each Proposal 3 Fund would be permitted to have an average credit quality that at times varies from AA/A+. Each Fund’s minimum credit quality of BBB/Baa, which is applied to all portfolio securities at the time of purchase, would remain unchanged. Accordingly, if Proposal 3 is approved, each Proposal 3 Fund and its portfolio managers would be permitted to take advantage of market opportunities with respect to securities rated lower than AA/A+, but rated at least BBB/Baa at the time of purchase, even if the purchase of those securities would cause the Fund’s average credit quality to vary at times from AA/A+.
The removal of each Proposal 3 Fund’s secondary investment objective would also remove any requirement that the Fund, as part of its investment objective, maintain an intermediate duration. A Fund’s duration approximates its price sensitivity to changes in interest rates. Due to a recent change in each Fund’s benchmark securities index, effective June 1, 2007, each Proposal 3 Fund’s target duration, under normal interest rate conditions, will equal that of the Lehman Brothers Aggregate Municipal Bond Index (the “Index”), plus or minus one year. (Over the last 10 years, the duration of the Index has ranged between six and eight years). If Proposal 3 is approved, the Fund will no longer be subject to any restrictions with respect to its duration.
The removal of each Proposal 3 Fund’s secondary investment objective may present certain risks. As noted above, each Proposal 3 Fund is permitted to purchase only securities rated BBB/Baa or higher at the time of purchase. Currently, however, the requirements of each Proposal 3 Fund’s secondary investment objective limit to a certain extent the ability of the Fund to invest in securities rated lower than AA/A+. However, if Proposal 3 is approved by shareholders, a Proposal 3 Fund’s average credit quality could fall below AA/A+ in the future, and the Fund could be subject to additional credit risk. Securities with lower credit ratings typically pay a higher rate of interest and can increase fund returns. However, adverse economic conditions or changing circumstances may weaken the capability of an issuer of such securities to make interest payments and repay principal.
* To be renamed “Goldman Sachs California AMT-Free Municipal Fund” effective June 1, 2007.
** To be renamed “Goldman Sachs New York AMT-Free Municipal Fund” effective June 1, 2007.
1 Each Proposal 3 Fund determines its average credit quality by (i) looking to the rating assigned to each portfolio security by a nationally recognized statistical rating organization (“NRSRO”) such as Standard & Poor’s Rating Group (“S&P”) or Moody’s Investors Service, Inc. (“Moody’s”); and then (ii) calculating the overall weighted average credit quality rating of the securities in each Fund. If a security is not rated by an NRSRO, the investment adviser will make a comparable rating determination to be used in calculating the overall average credit quality.
13
If Proposal 3 is approved, the Fund will no longer be subject to any restrictions with respect to its duration. Typically, longer-duration bonds provide higher income. The longer the duration of a bond, the more sensitive the bond’s price is to changes in interest rates. Accordingly, if the Fund’s average duration were to increase, the Fund’s sensitivity to interest rate changes would also increase.
Note that you are being asked to approve Proposal 3 only with respect to the Proposal 3 Fund(s) of which you currently own shares. Proposal 3 will be voted upon separately by shareholders of each Proposal 3 Fund. A vote for Proposal 3 with respect to one Fund will not affect the approval of Proposal 3 with respect to the other Proposal 3 Fund.
At a meeting held on May 9-10, 2007, the Board considered the proposed change to the investment objective of each Proposal 3 Fund. The Board considered all relevant factors, including the potential impact of Proposal 3 on each Proposal 3 Fund. Following its consideration of these matters, the Board unanimously approved the proposed change in each Proposal 3 Fund’s investment objective, and unanimously recommended that Proposal 3 also be approved by shareholders at the Meeting.
THE TRUSTEES UNANIMOUSLY RECOMMEND THAT YOU VOTE IN FAVOR OF PROPOSAL 3.
* * *
14
OFFICERS OF THE TRUST
The following table sets forth the names of the Trust’s officers, their ages, terms of office, including length of time served as officer, and principal occupations for the past five years. As a result of the responsibilities assumed by the Trust’s investment advisers, custodian and distributor, the Trust itself has no employees. The Trust’s officers do not receive any compensation from the Trust for serving as such.
Position(s) | Term of Office | |||||
Name, Age | Held with | and Length of | Principal Occupation(s) | |||
and Address | the Trust | Time Served(1) | During Past 5 Years | |||
Kaysie P. Uniacke 32 Old Slip New York, NY 10005 Age: 46 | President | Since 2002 | Managing Director, Goldman Sachs (1997-Present). Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies) (2001-January 2007). President — Goldman Sachs Mutual Fund Complex (registered investment companies). Assistant Secretary — Goldman Sachs Mutual Fund Complex (1997-2002) (registered investment companies). Trustee, Gettysburg College. | |||
James McNamara 32 Old Slip New York, NY 10005 Age: 44 | Senior Vice President | Since 2001 | Managing Director, Goldman Sachs (December 1998-Present); Director of Institutional Fund Sales, GSAM (April 1998-December 2000); and Senior Vice President and Manager, Dreyfus Institutional Service Corporation (January 1993-April 1998). Senior Vice President — Goldman Sachs Mutual Fund Complex (registered investment companies). Trustee — Goldman Sachs Mutual Fund Complex (registered investment companies) (December 2002-May 2004). | |||
James A. Fitzpatrick 71 South Wacker Drive Chicago, IL 60606 Age: 47 | Vice President | Since 1997 | Managing Director, Goldman Sachs (October 1999 — Present); and Vice President of GSAM (April 1997-December 1999). Vice President — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Jesse Cole 71 South Wacker Drive Chicago, IL 60606 Age: 43 | Vice President | Since 1998 | Managing Director, Goldman Sachs (December 2006-present); Vice President, GSAM (June 1998-Present); and Vice President, AIM Management Group, Inc. (investment adviser) (April 1996-June 1998). Vice President — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Kerry K. Daniels 71 South Wacker Drive Chicago, IL 60606 Age: 44 | Vice President | Since 2000 | Manager, Financial Control — Shareholder Services, Goldman Sachs (1986-Present). Vice President — Goldman Sachs Mutual Fund Complex (registered investment companies). |
15
Position(s) | Term of Office | |||||
Name, Age | Held with | and Length of | Principal Occupation(s) | |||
and Address | the Trust | Time Served(1) | During Past 5 Years | |||
John M. Perlowski 32 Old Slip New York, NY 10005 Age: 42 | Senior Vice President and Treasurer | Since 1997 | Managing Director, Goldman Sachs (November 2003 — Present) and Vice President, Goldman Sachs (July 1995-November 2003). Treasurer and Senior Vice President — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Philip V. Giuca, Jr. 32 Old Slip New York, NY 10005 Age: 45 | Assistant Treasurer | Since 1997 | Vice President, Goldman Sachs (May 1992-Present). Assistant Treasurer — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Peter Fortner 32 Old Slip New York, NY 10005 Age: 49 | Assistant Treasurer | Since 2000 | Vice President, Goldman Sachs (July 2000-Present); Associate, Prudential Insurance Company of America (November 1985-June 2000); and Assistant Treasurer, certain closed-end funds administered by Prudential (1999 and 2000). | |||
Assistant Treasurer — Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||
Kenneth G. Curran 32 Old Slip New York, NY 10005 Age: 43 | Assistant Treasurer | Since 2001 | Vice President, Goldman Sachs (November 1998-Present); and Senior Tax Manager, KPMG Peat Marwick (accountants) (August 1995-October 1998). | |||
Assistant Treasurer — Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||
Scott McHugh 32 Old Slip New York, NY 10005 Age: 35 | Assistant Treasurer | Since 2007 | Vice President, Goldman Sachs (February 2007-Present); Director, Deutsche Asset Management or its predecessor (1998-2007); Assistant Treasurer of certain mutual funds administered by DWS Scudder (2005-2007). | |||
Assistant Treasurer — Goldman Sachs Mutual Fund Complex (registered investment companies). | ||||||
Peter V. Bonanno 32 Old Slip New York, NY 10005 Age: 39 | Secretary | Since 2006 | Managing Director, Goldman Sachs (December 2006- Present); Associate General Counsel, Goldman Sachs (2002 — Present); Vice President (1999-2006) and Assistant General Counsel, Goldman Sachs (1999-2002). Secretary — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Assistant Secretary — Goldman Sachs Mutual Fund Complex (registered investment companies) (2003-2006). | ||||||
Dave Fishman 32 Old Slip New York, NY 10005 Age: 42 | Assistant Secretary | Since 2001 | Managing Director, Goldman Sachs (December 2001 — Present); and Vice President, Goldman Sachs (1997 — December 2001). Assistant Secretary — Goldman Sachs Mutual Fund Complex (registered investment companies). |
16
Position(s) | Term of Office | |||||
Name, Age | Held with | and Length of | Principal Occupation(s) | |||
and Address | the Trust | Time Served(1) | During Past 5 Years | |||
Danny Burke 32 Old Slip New York, NY 10005 Age: 44 | Assistant Secretary | Since 2001 | Vice President, Goldman Sachs (1987 — Present). Assistant Secretary — Goldman Sachs Mutual Fund Complex (registered investment companies). | |||
Elizabeth D. Anderson 32 Old Slip New York, NY 10005 Age: 37 | Assistant Secretary | Since 1997 | Managing Director, Goldman Sachs (December 2002 — Present); Vice President, Goldman Sachs (1997-December 2002) and Fund Manager, GSAM (April 1996 — Present). Assistant Secretary — Goldman Sachs Mutual Fund Complex (registered investment companies). |
(1) | Officers hold office at the pleasure of the Board or until their successors are duly elected and qualified. Each officer holds comparable positions with certain other companies of which Goldman Sachs, GSAM or an affiliate thereof is the investment adviser, administratorand/or distributor. |
INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
At a meeting of the Board of Trustees held on December 14, 2006, the Audit Committee recommended, and the Board, including a majority of the non-interested Trustees, approved, the selection of PricewaterhouseCoopers LLP to act as independent registered public accountants for the Trust on behalf of the Fixed Income Funds for the fiscal year ending October 31, 2007 and on behalf of the Specialty Funds, Money Market Funds and Asset Allocation Portfolios for the fiscal year ending December 31, 2007. At a meeting of the Board of Trustees held on November 9, 2006, the Audit Committee recommended, and the Board, including a majority of the non-interested Trustees, approved, the selection of PricewaterhouseCoopers LLP to act as independent registered public accountants for the Trust on behalf of the Equity Funds for the fiscal year ending August 31, 2007 and on behalf of the Flex Portfolios for the fiscal year ending October 31, 2007. Ernst & Young LLP served as the Trust’s independent registered public accountants for the Asset Allocation Portfolios, the Fixed Income Funds and certain Specialty Funds for the 2005 and 2006 fiscal years.
Representatives of PricewaterhouseCoopers LLP are not expected to be present at the Meeting but will be available by telephone to respond to appropriate questions from shareholders if necessary. Representatives of PricewaterhouseCoopers LLP will be given the opportunity to make statements at the Meeting, if they so desire.
Audit Fees
The aggregate fees billed by PricewaterhouseCoopers LLP for professional services for the audits of the annual, and in certain cases semi-annual, financial statements of the Flex Portfolios, Money Market Funds, Equity Funds and certain Specialty Funds for the fiscal years ended 2005 and 2006 were $762,000 and $1,071,400, respectively.
The aggregate fees billed by Ernst & Young LLP for professional services for the audits of the annual financial statements of the Asset Allocation Portfolios, the Fixed Income Funds and certain Specialty Funds for the fiscal years ended 2005 and 2006 were $427,000 and $848,750, respectively.
Fees included in the audit fees category are those associated with the annual and in certain cases semi-annual audits of financial statements and services that are normally provided in connection with statutory and regulatory filings.
Audit-Related Fees
The aggregate audit-related fees billed by PricewaterhouseCoopers LLP for services rendered to the Funds that are reasonably related to the performance of the audits of the financial statements of the Flex Portfolios, Money
17
Market Funds, Equity Funds and certain Specialty Funds, but not reported as audit fees for the fiscal years ended 2005 and 2006 were $234,400 and $195,000, respectively.
Fees included in the audit-related category are those associated with review of GSAM’s profitability by Fund.
There were no audit-related fees billed by Ernst & Young LLP for services rendered to the Asset Allocation Portfolios, the Fixed Income Funds and certain Specialty Funds that are reasonably related to the performance of the audits of the financial statements, but not reported as audit fees for the fiscal years ended 2005 and 2006.
With respect toRule 2-01(c)(7)(i)(C) ofRegulation S-X, there were no audit-related fees that were approved by the Audit Committee pursuant to thede minimisexception for the Funds’ two most recent fiscal years on behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.
The following table shows the amount of audit-related fees billed by the Funds’ independent public accountants to GSAM, and any entity controlling, controlled by or under common control with GSAM that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting, during the Funds’ last two fiscal years.
Audit Related Fees | 2005 | 2006 | Description of Services Rendered | |||
PricewaterhouseCoopers LLP | $683,000 | $937,000 | Internal control review performed in accordance with Statement on Auditing Standards No. 70 | |||
PricewaterhouseCoopers LLP | $0 | $10,000 | Audit related fees borne by the funds’ adviser | |||
Ernst & Young LLP | $0 | $0 | N/A |
Tax Fees
The aggregate fees billed by PricewaterhouseCoopers LLP for services rendered to the Flex Portfolios, Money Market Funds, Equity Funds and certain Specialty Funds for tax compliance, tax advice and tax planning for the fiscal years ended 2005 and 2006 were $176,800 and $281,400, respectively.
The aggregate fees billed by Ernst & Young LLP for services rendered to the Asset Allocation Portfolios, the Fixed Income Funds and certain Specialty Funds for tax compliance, tax advice and tax planning for the fiscal years ended 2005 and 2006 were $84,850 and $107,400, respectively.
Fees included in the tax fees category comprise all services performed by professional staff in the independent accountants’ tax division except those services related to the audits. This category comprises fees for tax compliance services provided in connection with the preparation and review of the Funds’ tax returns.
With respect toRule 2-01(c)(7)(i)(C) ofRegulation S-X, there were no tax fees that were approved by the Audit Committee pursuant to thede minimis exception for the Funds’ two most recent fiscal years on behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.
No tax fees were billed by the Funds’ independent registered public accountants to GSAM, and any entity controlling, controlled by or under common control with GSAM that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting, during the Funds’ last two fiscal years ended 2005 and 2006.
All Other Fees
No fees were billed by PricewaterhouseCoopers LLP for products and services provided to the Flex Portfolios, Money Market Funds, Equity Funds and certain Specialty Funds, other than the services reported in “Audit Fees,” “Audit Related Fees,” and “Tax Fees” above, for the fiscal years ended 2005 and 2006.
No fees were billed by Ernst & Young LLP for products and services provided to the Asset Allocation Portfolios, the Fixed Income Funds and certain Specialty Funds, other than the services reported in “Audit Fees,” “Audit Related Fees,” and “Tax Fees” above, for the fiscal years ended 2005 and 2006.
18
PricewaterhouseCoopers LLP and Ernst & Young LLP did not bill any fees for professional services rendered to the Funds, their investment advisers or companies controlling, controlled by or under common control with the investment advisers that provided services to the Trust during their most recent fiscal years for information technology services relating to financial information systems design and implementation.
With respect toRule 2-01(c)(7)(i)(C) ofRegulation S-X, there were fees within this category that were approved by the Audit Committee pursuant to thede minimisexception for the Funds’ two most recent fiscal years on behalf of (i) the Funds’ service providers that relate directly to the operations and financial reporting of the Funds, or (ii) the Funds themselves.
The following table shows the amount of all other fees billed by the Funds’ independent registered public accountants to GSAM, and any entity controlling, controlled by or under common control with GSAM that provides ongoing services to the Funds, for engagements directly related to the Funds’ operations and financial reporting, during the Funds’ last two fiscal years.
All Other Fees | 2005 | 2006 | Description of Services Rendered | |||
PricewaterhouseCoopers LLP | $0 | $125,500 | Review of fund reorganization documents | |||
Ernst & Young LLP | $309,782 | $70,000 | Review of fund merger documents (2006). Assistance in developing and executing testing plans for the compliance policies and procedures for GSAM and Goldman Sachs Mutual Funds (2005). |
The Audit Committee Charter contains the Audit Committee’s pre-approval policies and procedures. Reproduced below is an excerpt from the Audit Committee Charter regarding pre-approval policies and procedures:
The audit committee will pre-approve, pursuant to pre-approval policies established from time to time by the audit committee, all engagements of the Funds’ independent auditors that are required to be pre-approved under federal securities regulations, subject to any de minimis or other exceptions permitted by such regulations.
Aggregate Non-Audit Fees
The aggregate non-audit fees billed to the Trust by PricewaterhouseCoopers LLP for the 12 months ended December 31, 2006 and December 31, 2005 were approximately $476,400 and $411,200 respectively. The aggregate non-audit fees billed to the Trust’s adviser and service affiliates by PricewaterhouseCoopers LLP for non-audit services for the twelve months ended November 25, 2006 and November 26, 2005 were approximately $5.9 million and $5.2 million, respectively. With regard to the aggregate non-audit fees billed to the Trust’s adviser and service affiliates, the 2005 and 2006 amounts include fees for non-audit services required to be pre-approved and fees for non-audit services that did not require pre-approval since they did not directly relate to the Trust’s operations or financial reporting.
The aggregate non-audit fees billed to the Trust by Ernst & Young LLP for the 12 months ended December 31, 2006 and December 31, 2005 were approximately $107,400 and $84,850, respectively. The aggregate non-audit fees billed to the Trust’s adviser and service affiliates by Ernst & Young LLP for non-audit services for the 12 months ended December 31, 2006 and December 31, 2005 were approximately $55.9 million and $49.0 million, respectively. With regard to the aggregate non-audit fees billed to the Trust’s adviser and service affiliates, the 2005 and 2006 amounts include fees for non-audit services required to be pre-approved and fees for non-audit services that did not require pre-approval since they did not directly relate to the Trust’s operations or financial reporting.
The Audit Committee was required to consider whether the provision of non-audit services that were rendered to the Funds’ investment adviser (not including anysub-adviser whose role is primarily portfolio management and is subcontracted with or overseen by another investment adviser), and any entity controlling, controlled by, or under common control with the investment advisor that provides ongoing services to the Funds that were not pre-approved pursuant to paragraph (c)(7)(ii) ofRule 2-01 ofRegulation S-X, was compatible with maintaining the independence of the Funds’ independent registered public accountants.
19
VOTE REQUIRED FOR THE ELECTION OF TRUSTEES AND
APPROVAL OF MATTERS AT THE MEETING
APPROVAL OF MATTERS AT THE MEETING
A quorum for the transaction of business at the Meeting is constituted by the presence in person or by proxy of holders of one-third of the votes entitled to be cast at the Meeting, but any lesser number will be sufficient for adjournments. If a proxy card is properly executed and returned accompanied by instructions to withhold authority, the shares represented thereby will be considered to be present at the Meeting for purposes of determining the existence of a quorum for the transaction of business but will not be counted in favor of any Proposal. Because each Fund is a series of the Trust, with respect to Proposal 1, your vote will be counted together with the votes of shareholders of the other Funds affected by Proposal 1. With respect to Proposal 2 and Proposal 3, each Proposal will be voted upon separately by shareholders of each Proposal 2 Fund or Proposal 3 Fund. A vote for Proposal 2 or 3 with respect to one Fund will not affect the approval of Proposal 2 or 3 with respect to the other Funds. Cumulative voting is not permitted. The election of each Nominee of the Trust requires a plurality of the votes cast by all shareholders present at the Meeting. The adoption of Proposal 2 and Proposal 3 requires an affirmative vote of the lesser of (a) 67% or more of the voting securities of the Fund that are present at the meeting or represented by proxy if holders of shares representing more than 50% of the outstanding voting securities of the Fund are present or represented by proxy; or (b) more than 50% of the outstanding voting securities of the Fund (a “1940 Act Majority”).
Brokers who hold shares in street name for customers have discretionary authority to vote on “routine” proposals, such as the election of Trustees, when they have not received instructions from the beneficial owners of those shares. Broker “non-votes” are shares held in street name for which the broker indicates that instructions have not been received from the beneficial owners or other persons entitled to vote, and the broker does not have discretionary voting authority. Abstentions and broker non-votes, if any, will be counted as shares present for purposes of determining whether a quorum is present, but will not be voted for or against any adjournment or Proposal. Accordingly, abstentions and broker non-votes will have no effect on the Proposal to elect Trustees, other than for quorum purposes, for which the required vote is a plurality of the votes cast, but effectively will be a vote against adjournment, for which the required vote is a percentage of the shares present in person or by proxy, and against Proposals 2 and 3, for which the required vote is a 1940 Act Majority.
In the event that at the time any session of the Meeting is called to order a quorum is not present in person or by proxy, the persons named as proxies may vote those proxies which have been received to adjourn the Meeting to a later date. In the event that a quorum is present but sufficient votes in favor of the proposal have not been received, the persons named as proxies may propose one or more adjournments of the Meeting to permit further solicitation of proxies with respect to such proposal. If a quorum is present, any such adjournment will require the affirmative vote of a majority of the shares of the Trust present in person or by proxy at the session of the Meeting to be adjourned, and the persons named as proxies will vote those proxies which they are entitled to vote in favor of such proposal in favor of such an adjournment, and will vote those proxies required to be voted against such proposal against any such adjournment. Subject to the foregoing, the Meeting may be adjourned and re-adjourned without further notice to shareholders.
OTHER BUSINESS
The management of the Trust does not know of any other matters to be brought before the Meeting. If such matters are properly brought before the Meeting, proxies not limited to the contrary will be voted in accordance with the best judgment of the person or persons acting thereunder.
SHAREHOLDER PROPOSALS
The Trust is not required and does not intend to hold a meeting of shareholders each year. Instead, meetings will be held only when and if required by law or as otherwise determined by the Board. Any shareholder desiring to present a proposal for consideration at the next meeting of shareholders of their respective Fund must submit the proposal in writing, so that it is received by the appropriate Fund within a reasonable time before any meeting. The proposals should be sent to the Trust at its address stated on the first page of this Proxy Statement.
20
ADDITIONAL INFORMATION
Investment Advisers
Goldman Sachs Asset Management, L.P.
32 Old Slip
New York, New York 10005
Goldman Sachs Asset Management International
Christchurch Court
10-15 Newgate Street
London, England EC1A7HD
Distributor
Goldman, Sachs & Co.
85 Broad Street
New York, New York 10004
May 25, 2007
Shareholders who do not expect to be present at the Meeting and who wish to have their shares voted are requested to vote by mail, Internet or telephone. If you choose to vote by mail, please sign and date the enclosed proxy card and return it in the enclosed envelope. No postage is required if mailed in the United States. If you choose to vote by Internet or telephone, please use the control number on the proxy card and follow the instructions on the proxy card. If you have any questions regarding the proxy materials please contact the Trust at1-800-621-2550.
21
EXHIBIT A
Throughout this Proxy Statement, the Goldman Sachs Funds are classified into the following groups: Equity Funds, Flex Portfolios, Fixed Income Funds, Asset Allocation Portfolios, Money Market Funds, and Specialty Funds. Each Fund’s classification and Shares outstanding as of May 14, 2007 is set forth in the table below.
Fund | Fund Group Classification | Outstanding Shares | ||||||||
Goldman Sachs Asia Equity Fund | Equity Funds | 9,579,396.01 | ||||||||
Goldman Sachs Balanced Fund | Equity Funds | 10,195,918.26 | ||||||||
Goldman Sachs Balanced Strategy Portfolio | Asset Allocation Portfolios | 47,994,280.79 | ||||||||
Goldman Sachs BRIC Fund (Brazil, Russia, India, China) | Equity Funds | 16,368,549.52 | ||||||||
Goldman Sachs California Intermediate AMT-Free Municipal Fund | Fixed Income Funds | 6,471,336.56 | ||||||||
Goldman Sachs Capital Growth Fund | Equity Funds | 77,533,462.60 | ||||||||
Goldman Sachs Commodity Strategy Fund | Specialty Funds | 17,843,801.32 | ||||||||
Goldman Sachs Concentrated Growth Fund | Equity Funds | 16,040,880.31 | ||||||||
Goldman Sachs Concentrated International Equity Fund (formerly International Equity Fund) | Equity Funds | 25,105,587.47 | ||||||||
Goldman Sachs Core Fixed Income Fund | Fixed Income Funds | 242,621,212.18 | ||||||||
Goldman Sachs Core Plus Fixed Income Fund | Fixed Income Funds | 7,503,893.41 | ||||||||
Goldman Sachs Emerging Markets Debt Fund | Fixed Income Funds | 18,000,884.68 | ||||||||
Goldman Sachs Emerging Markets Equity Fund | Equity Funds | 70,010,587.87 | ||||||||
Goldman Sachs Enhanced Income Fund | Fixed Income Funds | 26,353,885.24 | ||||||||
Goldman Sachs Equity Growth Strategy Portfolio | Asset Allocation Portfolios | 51,189,494.00 | ||||||||
Goldman Sachs — Financial Square Federal Fund | Money Market Funds | 9,907,164,497.72 | ||||||||
Goldman Sachs — Financial Square Government Fund | Money Market Funds | 5,321,779,489.41 | ||||||||
Goldman Sachs — Financial Square Money Market Fund | Money Market Funds | 15,691,556,877.36 | ||||||||
Goldman Sachs — Financial Square Prime Obligations Fund | Money Market Funds | 30,560,948,233.82 | ||||||||
Goldman Sachs — Financial Square Tax-Free Money Market Fund | Money Market Funds | 8,671,475,602.01 | ||||||||
Goldman Sachs — Financial Square Treasury Instruments Fund | Money Market Funds | 3,406,316,295.76 | ||||||||
Goldman Sachs — Financial Square Treasury Obligations Fund | Money Market Funds | 6,406,099,512.50 | ||||||||
Goldman Sachs Global Income Fund | Fixed Income Funds | 102,448,977.53 | ||||||||
Goldman Sachs Government Income Fund | Fixed Income Funds | 39,767,923.68 | ||||||||
Goldman Sachs Growth and Income Fund | Equity Funds | 48,410,597.87 | ||||||||
Goldman Sachs Growth and Income Strategy Portfolio | Asset Allocation Portfolios | 213,814,247.10 | ||||||||
Goldman Sachs Growth Opportunities Fund | Equity Funds | 80,983,700.57 | ||||||||
Goldman Sachs Growth Strategy Portfolio | Asset Allocation Portfolios | 168,482,547.17 | ||||||||
Goldman Sachs High Yield Fund | Fixed Income Funds | 393,264,838.41 | ||||||||
Goldman Sachs High Yield Municipal Fund | Fixed Income Funds | 710,081,565.64 | ||||||||
Goldman Sachs Income Strategies Portfolio | Asset Allocation Portfolios | 1,420,199.54 | ||||||||
Goldman Sachs Institutional Liquid Assets Federal Portfolio | Money Market Funds | 1,868,601,064.14 |
A-1
Fund | Fund Group Classification | Outstanding Shares | ||||||||
Goldman Sachs Institutional Liquid Assets Money Market Portfolio | Money Market Funds | 378,651,647.24 | ||||||||
Goldman Sachs Institutional Liquid Assets Prime Obligations Portfolio | Money Market Funds | 784,239,784.12 | ||||||||
Goldman Sachs Institutional Liquid Assets Tax-Exempt California Portfolio | Money Market Funds | 491,170,734.18 | ||||||||
Goldman Sachs Institutional Liquid Assets Tax-Exempt Diversified Portfolio | Money Market Funds | 737,778,818.46 | ||||||||
Goldman Sachs Institutional Liquid Assets Tax-Exempt New York Portfolio | Money Market Funds | 333,029,437.74 | ||||||||
Goldman Sachs Institutional Liquid Assets Treasury Instruments Portfolio | Money Market Funds | 563,315,977.10 | ||||||||
Goldman Sachs Institutional Liquid Assets Treasury Obligations Portfolio | Money Market Funds | 599,640,109.08 | ||||||||
Goldman Sachs International Real Estate Securities Fund | Specialty Funds | 94,501,261.93 | ||||||||
Goldman Sachs International Small Cap Fund | Equity Funds | 10,792,568.77 | ||||||||
Goldman Sachs Investment Grade Credit Fund | Fixed Income Funds | 22,671,818.26 | ||||||||
Goldman Sachs Japanese Equity Fund | Equity Funds | 4,309,436.69 | ||||||||
Goldman Sachs Large Cap Value Fund | Equity Funds | 142,957,066.45 | ||||||||
Goldman Sachs Mid Cap Value Fund | Equity Funds | 193,111,883.27 | ||||||||
Goldman Sachs Municipal Income Fund | Fixed Income Funds | 39,114,987.09 | ||||||||
Goldman Sachs New York Intermediate AMT-Free Municipal Fund | Fixed Income Funds | 2,329,814.84 | ||||||||
Goldman Sachs Real Estate Securities Fund | Specialty Funds | 50,294,115.94 | ||||||||
Goldman Sachs Satellite Strategies Portfolio | Asset Allocation Portfolios | 1,132,786.26 | ||||||||
Goldman Sachs Short Duration Government Fund | Fixed Income Funds | 91,264,494.88 | ||||||||
Goldman Sachs Short Duration Tax-Free Fund | Fixed Income Funds | 31,243,844.61 | ||||||||
Goldman Sachs Small Cap Value Fund | Equity Funds | 47,341,902.28 | ||||||||
Goldman Sachs Small/Mid Cap Growth Fund | Equity Funds | 7,623,637.98 | ||||||||
Goldman Sachs Strategic Growth Fund | Equity Funds | 30,232,915.14 | ||||||||
Goldman Sachs Structured International Equity Flex Fund | Flex Portfolios | 17,204,769.06 | ||||||||
Goldman Sachs Structured International Equity Fund | Equity Funds | 282,149,297.03 | ||||||||
Goldman Sachs Structured Large Cap Growth Fund | Equity Funds | 124,868,596.19 | ||||||||
Goldman Sachs Structured Large Cap Value Fund | Equity Funds | 118,881,773.74 | ||||||||
Goldman Sachs Structured Small Cap Equity Fund | Equity Funds | 74,843,716.16 | ||||||||
Goldman Sachs Structured Tax-Managed Equity Fund | Specialty Funds | 31,074,891.14 | ||||||||
Goldman Sachs Structured U.S. Equity Flex Fund | Flex Portfolios | 6,408,179.00 | ||||||||
Goldman Sachs Structured U.S. Equity Fund | Equity Funds | 52,695,651.35 | ||||||||
Goldman Sachs Tennessee Municipal Fund | Fixed Income Funds | 8,263,389.94 | ||||||||
Goldman Sachs Tollkeeper Fundsm | Specialty Funds | 28,774,050.53 | ||||||||
Goldman Sachs U.S. Equity Dividend and Premium Fund | Specialty Funds | 30,069,016.35 | ||||||||
Goldman Sachs U.S. Mortgages Fund | Fixed Income Funds | 39,184,339.12 | ||||||||
Goldman Sachs Ultra-Short Duration Government Fund | Fixed Income Funds | 47,534,755.16 |
A-2
EXHIBIT B
FIVE PERCENT SHAREHOLDERS
As of May 14, 2007, the following persons or entities owned beneficially or of record more than 5% of the outstanding shares, as applicable, of each Fund:
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
ASIA EQUITY FUND INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,299,116.50 | 99.58 | % | ||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 16,171.51 | 6.41 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS2 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 58,646.13 | 23.23 | % | |||||||
FIRST CLEARING LLC GLEN DOUGLAS CLAMP 698 RAWL RD LEXINGTON SC29072-8956 | 26,077.94 | 10.33 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 33,753.00 | 13.37 | % | |||||||
A G EDWARDS & SONS C/F DIANE H BENDER ROTH IRA A/C 28 OAK GROVE LN EDISON NJ08820-3620 | 13,298.52 | 5.27 | % | |||||||
WELLS FARGO INVESTMENTS LLC 625 MARQUETTE AVE FL 13 MINNEAPOLIS MN55402-2308 | 24,134.73 | 9.56 | % | |||||||
CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,135,028.20 | 70.63 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 775,750.61 | 13.25 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC IRA FBO RONALD M MUENCHRATH 8924 FAIRGLEN DR DALLAS TX75231-4840 | 9,085.20 | 5.72 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR2 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 14,189.17 | 8.93 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 32,958.62 | 20.73 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 31,933.94 | 20.09 | % | |||||||
B-1
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 10,183.74 | 6.41 | % | |||||||
BALANCED FUND CLASS A SHARES | EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 6,327,684.73 | 71.53 | % | ||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 42,238.83 | 11.97 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97RT4 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 77,199.63 | 21.88 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 95,008.05 | 26.93 | % | |||||||
A G EDWARDS & SONS INC FBO CECIL E MOENCH & JEANETTE MOENCH ONE NORTH JEFFERSON ST LOUIS MO 63103 | 18,377.84 | 5.21 | % | |||||||
CLASS B SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR4 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 65,038.92 | 7.69 | % | ||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 46,214.85 | 5.46 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 427,813.23 | 50.57 | % | |||||||
INSTITUTIONAL SHARES | USA EQUESTRIAN TRUST INC GROWTH AND INCOME PO BOX 5910 OCALA FL34478-5910 | 24,910.05 | 16.45 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 119,952.76 | 79.23 | % | |||||||
SERVICE SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 62.08 | 98.21 | % | ||||||
BALANCED STRATEGY PORTFOLIO CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,455,074.13 | 5.87 | % | ||||||
THE MERCURY MACHINE COMPANY GOLDMAN SACHS/ADP 401K PLAN 30250 CARTER ST SOLON OH44139-3500 | 2,259,771.89 | 9.11 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 12,143,239.90 | 48.97 | % | |||||||
B-2
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CLASS B SHARES | NFS LLC FEBO CHASE MANHATTAN BANK CUST IRA OF ANTOINETTE OGNO 168 AVENUE B HOLBROOK NY11741-1403 | 411,513.96 | 12.82 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97TL6 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 304,682.25 | 9.49 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 444,275.12 | 13.84 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 608,031.82 | 18.95 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 313,052.83 | 9.75 | % | |||||||
CLASS C SHARES | NFS LLC FEBO DONALD R SMITH GABRIELLE Y SMITH 1934 MOUNT VERNON DR FT WRIGHT KY41011-3630 | 583,293.02 | 5.43 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 1,202,038.90 | 11.19 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97TL5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 3,568,007.13 | 33.21 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 882,569.78 | 8.21 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 583,709.48 | 5.43 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 652,367.65 | 6.07 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO FMT CO CUST IRA FBO CORINE M PAVICH 3817 W CARON ST PHOENIX AZ85051-3341 | 6,875,434.50 | 80.26 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,585,329.62 | 18.51 | % | |||||||
SERVICE SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 529,321.13 | 78.00 | % | ||||||
B-3
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
TRUSTCORP AMERICA 5301 WISCONSIN AVE NW FOURTH FLOOR WASHINGTON DC20015-2015 | 55,173.80 | 8.13 | % | |||||||
HUNTER STREET BAPTIST CHURCH INC MISSION FUND 2600 JOHN HAWKINS PKWY BIRMINGHAM AL35244-4009 | 46,200.64 | 6.81 | % | |||||||
BRIC FUND INSTITUTIONAL SHARES | NFS LLC FEBO LINDA R GOODING 1473 ALTAMONT DR DECATUR GA30033-2103 | 266,497.03 | 15.84 | % | ||||||
NATIONAL INVESTOR SERVICES FBO 55 WATER ST FL 32 NEW YORK NY10041-3299 | 189,458.03 | 11.26 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,022,578.01 | 60.79 | % | |||||||
MIDTRUSCO ATTN: TRUST OPS 5901 COLLEGE BLVD STE 100 OVERLAND PARK KS66211-1834 | 102,985.81 | 6.12 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 193,801.77 | 5.23 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,328,313.17 | 35.86 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 510,256.80 | 13.77 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 491,440.08 | 13.27 | % | |||||||
CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,292,250.37 | 29.98 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,091,752.85 | 9.94 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 2,467,926.75 | 22.47 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 1,083,909.45 | 9.87 | % | |||||||
CALIFORNIA INTERMEDIATEAMT-FREE MUNICIPAL FUND CLASS A SHARES | NFS LLC FEBO TATIANA LLC ATT TATIANA BOTTON 1223 WILSHIRE BLVD #759 SANTA MONICA CA90403-5406 | 302,425.47 | 6.11 | % | ||||||
B-4
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 4,329,302.28 | 87.49 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 7,241.38 | 18.44 | % | ||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 20,988.68 | 53.45 | % | |||||||
A G EDWARDS & SONS INC EUGENE ARENA & BESSIE ARENA JTTEN ACCOUNT1347-6360 1 N JEFFERSON AVE SAINT LOUIS MO63103-2287 | 10,973.09 | 27.95 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,403,267.43 | 94.59 | % | ||||||
CAPITAL GROWTH FUND CLASS A SHARES | NFS LLC FEBO GEORGETTE K CHAIT SERGIO CHAIT 3539 BURNAGE HALL RD HARRISBURG NC 28075 | 3,307,570.77 | 5.70 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,282,954.42 | 7.38 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 13,917,414.35 | 23.98 | % | |||||||
A G EDWARDS & SONS INC VERA DLABOHA IRA A/C 1 N JEFFERSON AVE SAINT LOUIS MO63103-2287 | 11,511,308.27 | 19.84 | % | |||||||
CLASS B SHARES | NFS LLC FEBO WM FINANCIAL SERVICES INC R/O IRA FBO ENGIN OKTAY 6571 STARSHINE DR HUNTINGTON BEACH CA92647-2940 | 296,885.61 | 9.03 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 205,178.00 | 6.24 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 209,954.03 | 6.39 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 261,124.44 | 7.94 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 261,685.91 | 7.96 | % | |||||||
B-5
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 550,830.60 | 16.76 | % | |||||||
A G EDWARDS & SONS CUSTODIAN FOR MICHAEL D LUCAS ROTH IRA ACCOUNT 1131 N 7TH ST RIVERTON IL62561-9777 | 186,572.71 | 5.68 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 198,394.34 | 6.03 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 312,136.67 | 9.56 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 361,324.30 | 11.07 | % | |||||||
SIGMA MORTGAGE CORPORATION GOLDMAN SACHS/ADP 401K PLAN 1 E WALKER DR STE 3622 CHICAGO IL 60607 | 1,036,331.12 | 31.74 | % | |||||||
A G EDWARDS & SONS CUSTODIAN FOR MICHAEL J TRUAX ROTH ROLLOVER IRA ACCT 103 CARRIAGE VIEW DR WILDWOOD MO63040-1426 | 516,859.23 | 15.83 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST ATTN JEN CONSIGL JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 1,766,912.42 | 14.15 | % | ||||||
MERCER TRUST COMPANY CUSTODIAN FBO MARSH & MCLENNAN COMPANIES STOCK INVESTMENT PLAN ATTN DC PLAN ADMINISTRATION MS N 2 E 1 INVESTORS WAY NORWOOD MA02062-1599 | 1,826,041.07 | 14.63 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,256,765.98 | 26.08 | % | |||||||
SEI TRUST COMPANY C/O JOHNSON TRUST ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 2,244,972.86 | 17.98 | % | |||||||
A.G. EDWARDS TRUST COMPANY FSB FBO TRUST CLIENTS ATTN: OPERATIONS PO BOX 66734 SAINT LOUIS MO63166-6734 | 1,884,832.87 | 15.10 | % | |||||||
SERVICE SHARES | HUDSON SAVINGS BANK 42 MAIN ST HUDSON MA01749-2183 | 25,151.44 | 5.47 | % | ||||||
FIRST COUNTY BANK 117 PROSPECT ST STAMFORD CT06901-1209 | 29,592.00 | 6.44 | % | |||||||
RUANE & CO PO BOX 6437 ITHACA NY14851-6437 | 88,558.83 | 19.27 | % | |||||||
FULTON FINANCIAL ADV TTEE FBO PO BOX 3215 LANCASTER PA17604-3215 | 41,623.93 | 9.06 | % | |||||||
B-6
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
ESSA BANK & TRUST ASSET MANAGEMENT & TRUST SERVICES 744 MAIN ST EAST STROUDSBURG PA18360-2018 | 27,518.72 | 5.99 | % | |||||||
EMJAY CORP AS AGENT FOR FNB OF SIOUX FALLS RET PLANS C/O FASCORP 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 115,669.90 | 25.17 | % | |||||||
COMMODITY STRATEGY FUND INSTITUTIONAL SHARES | STATE STREET BANK & TR CO CUST GS TRUST GROWTH STRATEGY COMMODITY STRATEGY FUND PO BOX 1713 BOSTON MA02205-1713 | 4,808,788.99 | 36.30 | % | ||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH & INCOME COMMODITY STRATEGY FUND PO BOX 1713 BOSTON MA02205-1713 | 5,487,512.48 | 41.42 | % | |||||||
STATE STREET BANK & TR CO CUST GS TRUST BALANCED STRATEGY COMMODITY STRATEGY FUND PO BOX 1713 BOSTON MA02205-1713 | 825,920.85 | 6.23 | % | |||||||
STATE STREET BANK & TR CO CUST GS EQUITY GROWTH STRATEGY PORTFOLIO COMMODITY STRATEGY FUND PO BOX 1713 BOSTON MA02205-1713 | 1,965,369.62 | 14.83 | % | |||||||
CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 2,244,818.63 | 48.87 | % | ||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 2,048,458.35 | 44.59 | % | |||||||
CLASS C SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,000.00 | 89.23 | % | ||||||
FIRST CLEARING LLC PATRICIA L MARSHALL IRA FCC AS CUSTODIAN PO BOX 846 CHATOM AL36518-0846 | 119.64 | 10.68 | % | |||||||
CONCENTRATED GROWTH FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 5,633,674.48 | 95.81 | % | ||||||
CLASS B SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 28,783.23 | 64.93 | % | ||||||
FIRST CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DR GLEN ALLEN VA23060-9245 | 2,394.32 | 5.40 | % | |||||||
CLASS C SHARES | NFS LLC FEBO OSBURN LIVING TR GLENN R OSBURN U/A07/29/98 1227 DUBOIS CT KIRKWOOD MO63122-5518 | 4,460.76 | 9.11 | % | ||||||
B-7
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 4,913.33 | 10.03 | % | |||||||
FIRST CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DR GLEN ALLEN VA23060-9245 | 3,917.31 | 8.00 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO BRUNKHORST IRA 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 18,388.77 | 37.54 | % | |||||||
RBC DAIN RAUSCHER CUST SUZANNE RAPPOCCIO SIGN PRO INC 78 METACOMET VW SOUTHINGTON CT06489-3886 | 5,347.70 | 10.92 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 4,288.32 | 8.75 | % | |||||||
SERVICE SHARES | THE GOLDMAN SACHS GROUP LP SEED ACCT CHRISTINE C PJERO 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 161.84 | 99.98 | % | ||||||
INSTITUTIONAL SHARES | DANE & CO STATE STREET BANK CAROL AMICK12/11/03 FBO JRD MUTUAL FUNDS SWEEP FL 3 BOX 5496 BOSTON MA 02102 | 606,800.84 | 6.03 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,616,159.74 | 25.99 | % | |||||||
VANGUARD FIDUCIARY TRUST COMPANY GOLDMAN SACHS FUNDS PO BOX 2600 VALLEY FORGE PA19482-2600 | 1,311,275.16 | 13.03 | % | |||||||
WELLS FARGO BANK NA FBO ALASKA RAILROAD CORP PENSION PLAN PO BOX 1533 MINNEAPOLIS MN55480-1533 | 1,070,953.70 | 10.64 | % | |||||||
CHARLES SCHWAB & CO INC SPEC CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 9601 E PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 3,220,662.43 | 31.99 | % | |||||||
CONCENTRATED INTERNATIONAL EQUITY FUND SERVICE SHARES | NFS LLC FEBO BANCFIRST TRUST & INVEST MANAGEMENT REINV/REINV ACCOUNT 101 N BROADWAY SUITE 750 OKLAHOMA CITY OK73102-8405 | 18,702.73 | 33.36 | % | ||||||
BROWN BROTHERS HARRIMAN & CO AS C/F SISCH100025-4941464 — CASH 525 WASHINGTON BLVD JERSEY CITY NJ07310-1606 | 3,626.50 | 6.47 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN SERVICE TEAM SEC 97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 20,587.73 | 36.72 | % | |||||||
B-8
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SFTC FBO: GODFREY ADVERTISING, INC. PO BOX 38 E PETERSBURG PA17520-0038 | 9,582.01 | 17.09 | % | |||||||
CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 7,446,198.94 | 41.68 | % | ||||||
HUMBOLDT MOTOR SALES INC GOLDMAN SACHS/ADP 401K PLAN 2231 220TH ST HUMBOLDT IA50548-8886 | 1,245,862.44 | 6.97 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 5,049,928.10 | 28.26 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 109,044.09 | 7.65 | % | ||||||
SIGMA MORTGAGE CORPORATION GOLDMAN SACHS/ADP 401K PLAN 1 E WALKER DR STE 3622 CHICAGO IL 60607 | 882,968.23 | 61.93 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 85,336.82 | 5.99 | % | |||||||
INSTITUTIONAL SHARES | DANE & CO FBO VAN EEKEREN K MINORITY TRUST DTD8/23/05 MUTUAL FUNDS SWEEP 3RD FL BOX 5496 BOSTON MA02206-5496 | 1,501,542.71 | 29.12 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,902,157.45 | 56.28 | % | |||||||
CLASS B SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 30,059.91 | 5.01 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 38,728.84 | 6.46 | % | |||||||
JANNEY MONTGOMERY SCOTT LLC HARRINGTON & ASSOC PSP & TR FBO WILLIAM E HARRINGTON JR 1801 MARKET ST PHILADELPHIA PA19103-1628 | 35,589.50 | 5.93 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 57,411.22 | 9.57 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 118,266.48 | 19.72 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 36,778.18 | 6.13 | % | |||||||
B-9
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CORE FIXED INCOME FUND INSTITUTIONAL SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 47,478,880.20 | 30.15 | % | ||||||
SEI PRIVATE TR CO C/O FIRST TENNESSEE ID 683 1 FREEDOM VALLEY DRIVE OAKS PA 19456 | 31,708,027.81 | 20.14 | % | |||||||
OLTRUST & CO PO BOX 966 EVANSVILLE IN47706-0966 | 9,593,108.33 | 6.09 | % | |||||||
SERVICE SHARES | NFS LLC FEBO JACOBSEN CONSTRUCTION DC 3131 W 2210 S SALT LAKE CTY UT84119-1267 | 1,153,931.30 | 25.32 | % | ||||||
FULTON FINANCIAL ADV TTEE FBO PO BOX 3215 LANCASTER PA17604-3215 | 1,719,847.72 | 37.74 | % | |||||||
MARIL & CO FBO 98 C/O M&I TRUST CO., NA 11270 W. PARK PLACE SUITE 400 MILWAUKEE WI53224-3638 | 1,192,421.72 | 26.16 | % | |||||||
CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 42,687,240.63 | 56.22 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 11,468,708.32 | 15.10 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 145,261.63 | 5.83 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97RT5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 239,162.72 | 9.60 | % | |||||||
MEGA CO INC GOLDMAN SACHS/ADP 401K PLAN 1423 POWHATAN ST STE 10 ALEXANDRIA VA22314-1389 | 1,465,890.17 | 58.83 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC IRA FBO GREGORY R FALK 1155 HILLSBORO MILE APT #609 POMPANO BEACH FL 33062 | 260,472.49 | 12.02 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 143,178.51 | 6.61 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC# 97P44 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 150,056.31 | 6.93 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 556,771.02 | 25.70 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 288,752.76 | 13.33 | % | |||||||
B-10
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
LPL FINANCIAL SERVICES 9785 TOWNE CENTRE DRIVE SAN DIEGO CA92121-1968 | 117,658.61 | 5.43 | % | |||||||
CORE PLUS FIXED INCOME FUND INSTITUTIONAL SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 5,092,041.42 | 83.29 | % | ||||||
GOLDMAN SACHS & CO PO BOX 06050 CHICAGO IL60606-0050 | 1,021,452.48 | 16.71 | % | |||||||
CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 1,244,002.57 | 92.45 | % | ||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 92,014.97 | 6.84 | % | |||||||
CLASS C SHARES | FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 5,503.67 | 12.27 | % | ||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55474-0001 | 4,965.08 | 11.07 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO GERAGHTY JTTEN TRU 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 5,130.00 | 11.43 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO GROVE SEP 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 2,796.94 | 6.23 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO DAVIS IRA 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 3,556.85 | 7.93 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO DIETMEIER M 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 3,052.00 | 6.80 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO MCCAFFREY IRA 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 3,726.08 | 8.31 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO VACHE,LL 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 2,486.74 | 5.54 | % | |||||||
RAYMOND JAMES & ASSOC INC FBO SEGER IRA 880 CARILLON PKWY ST PETERSBURG FL33716-1100 | 4,064.98 | 9.06 | % | |||||||
LPL FINANCIAL SERVICES 9785 TOWNE CENTRE DR SAN DIEGO CA92121-1968 | 3,531.03 | 7.87 | % | |||||||
EMERGING MARKETS DEBT FUND CLASS A SHARES | NFS LLC FEBO DAVID M POPOWICH 301 AUSTRALIAN AVE UNIT 129 PALM BEACH FL33480-4627 | 711,036.16 | 10.71 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 1,567,399.53 | 23.62 | % | |||||||
B-11
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,427,259.67 | 21.51 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 342,452.80 | 5.16 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 1,322,557.45 | 19.93 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 587,468.08 | 8.85 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 14,194.41 | 83.74 | % | ||||||
D A DAVIDSON & CO INC FBO D A DAVIDSON & CO CUST FOR PO BOX 5015 GREAT FALLS MT59403-5015 | 1,713.28 | 10.11 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 890,869.02 | 7.85 | % | ||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH STRATEGY EMERGING MARKETS DEBT PO BOX 1713 BOSTON MA02205-1713 | 4,118,877.97 | 36.30 | % | |||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH & INCOME STRATEGY EMERGING MARKETS DEBT PO BOX 1713 BOSTON MA02205-1713 | 4,704,046.46 | 41.46 | % | |||||||
EMERGING MARKETS EQUITY FUND INSTITUTIONAL SHARES | STATE STREET BANK & TR CO CUST FBO GOLDMAN SACHS GRTH & INCOME STRATEGY OMNIBUS A/C EMERGING MARKETS FUND PO BOX 1713 BOSTON MA02205-1713 | 12,703,468.16 | 28.94 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 13,031,658.82 | 29.69 | % | |||||||
SEI PRIVATE TRUST CO C/O SUNTRUST BANK SAS RELATIONSHIP C/O SUNTRUST ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 13,001,387.97 | 29.62 | % | |||||||
CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 2,211,416.36 | 9.13 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 16,146,688.54 | 66.66 | % | |||||||
B-12
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,314,804.90 | 5.43 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 1,965,389.85 | 8.11 | % | |||||||
CLASS B SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 166,644.14 | 25.55 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 34,278.54 | 5.26 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97TE0 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 74,330.00 | 11.40 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 98,071.64 | 15.04 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 76,680.99 | 11.76 | % | |||||||
AMERICAN EXPRESS FINANCIAL FBO DIMITRIOS TSISSIOS & ELENI EVANGELOU TSISSIOU JTWROS 815 PRINCEWOOD AVE DAYTON OH45429-5623 | 44,154.21 | 6.77 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 247,142.03 | 21.63 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97TE1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 387,402.06 | 33.90 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 116,377.06 | 10.18 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 67,067.32 | 5.87 | % | |||||||
SERVICE SHARES | FIFTH THIRD BANK CUST FBO BANK CHAMPAIGN RR PO BOX 3385 CINCINNATI OH45263-0001 | 23,306.71 | 24.43 | % | ||||||
EMJAY CORPORATION CUSTODIAN FBO PLANS OF RPSA CUSTOMERS C/O GREAT WEST 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 7,953.77 | 8.34 | % | |||||||
UMB BANK NA FBO FIDUCIARY FOR TAX DEFERRED ACCTS 1 SW SECURITY BENEFIT PL TOPEKA KS66636-0001 | 42,879.16 | 44.94 | % | |||||||
B-13
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SECURITY BENEFIT LIFE INSURANCE CO SBL VARIABLE ANNUITY ACCT XIV 1 SW SECURITY BENEFIT PL TOPEKA KS66636-1000 | 9,212.96 | 9.66 | % | |||||||
ENHANCED INCOME FUND ADMINISTRATION SHARES | NFS LLC FEBO JOHN W ENGLISH KAREN A SMITH 849 HILL ST ATHENS GA30606-2917 | 7,796.36 | 24.19 | % | ||||||
PERSHING LLC P.O. BOX 2052 JERSEY CITY NJ07303-2052 | 5,989.45 | 18.59 | % | |||||||
RBC DAIN RAUSCHER FBO RICHARD J BIRKOFER 875 E CAMINO REAL APT 10F BOCA RATON FL33432-6319 | 3,095.16 | 9.61 | % | |||||||
FROST CUTLERY CO ATTN STEPHEN J FROST PO BOX 22636 CHATTANOOGA TN37422-2636 | 15,326.83 | 47.56 | % | |||||||
CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,427,742.28 | 88.04 | % | ||||||
INSTITUTIONAL SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 5,091,627.77 | 21.61 | % | ||||||
NFS LLC FEBO — JUAN DIBILDOX 628 RIDGEWOOD RD KEY BISCAYNE FL33149-2019 | 3,539,591.18 | 15.02 | % | |||||||
HOFSTRA UNIVERSITY 100 B PHILLIPS HALL ATTN SEAN P COVER 128 HOFSTRA UNIVERSITY HEMPSTEAD NY11549-1280 | 3,344,422.19 | 14.19 | % | |||||||
MASTERCARD INCORPORATED ATTN TREASURY DEPARTMENT 2000 PURCHASE ST PURCHASE NY10577-2405 | 5,240,242.92 | 22.24 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,070,605.24 | 13.03 | % | |||||||
ILLUMINA INC 9885 TOWNE CENTRE DR SAN DIEGO CA92121-1975 | 2,009,082.40 | 8.53 | % | |||||||
EQUITY GROWTH STRATEGY PORTFOLIO CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,425,699.78 | 15.43 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM6 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 2,407,160.55 | 8.39 | % | |||||||
NAP REALTY CORP GOLDMAN SACHS/ADP 401K PLAN PO BOX 187 ESSEX FELLS NJ07021-0187 | 1,880,150.95 | 6.56 | % | |||||||
ARCHELON LLC GOLDMAN SACHS/ADP 401K PLAN 200 S WACKER DR FL 24 CHICAGO IL60606-5829 | 1,800,123.31 | 6.28 | % | |||||||
B-14
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 9,100,672.27 | 31.74 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 3,106,208.55 | 18.41 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM4 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 5,047,015.15 | 29.91 | % | |||||||
FIRST CLEARING LLC LONNIE A MARTIN IRA FCC AS CUSTODIAN 1201 EL TORO DR HOLLISTER CA95023-5155 | 1,576,475.37 | 9.34 | % | |||||||
KELLER SYSTEMS INTERNATIONAL GOLDMAN SACHS/ADP 401K PLAN 5145 MYRTLE AVE RIVERSIDE CA92506-1425 | 1,261,372.83 | 7.47 | % | |||||||
ROBERT W BAIRD & CO INC 777 E WISCONSIN AVE MILWAUKEE WI53202-5300 | 1,167,455.20 | 6.92 | % | |||||||
DEAN WITTER FBO AMY WILLARD CUST FOR PO BOX 250 NEW YORK NY10008-0250 | 862,600.48 | 5.11 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,904,324.70 | 81.87 | % | ||||||
THE NATIONAL PHILANTHROPIC TRUST 165 TOWNSHIP LINE RD STE 150 JENKINTOWN PA19046-3594 | 243,044.70 | 10.45 | % | |||||||
SERVICE SHARES | NFS LLC FEBO JAMES L RALEIGH BARBARA G RALEIGH 8406 HOLLOW BEND LN PORT ARTHUR TX77642-7342 | 95,634.86 | 27.45 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN SERVICE TEAM SEC 97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 214,323.49 | 61.52 | % | |||||||
CLASS B SHARES | NFS LLC FEBO CHASE MANHATTAN BANK CUST IRA OF CHARLES VON MUEFFLING SAR-SEP 95 HORATIO ST APT 219 NEW YORK NY10014-1527 | 281,482.75 | 9.50 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 352,678.63 | 11.90 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 265,563.28 | 8.96 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 291,863.85 | 9.85 | % | |||||||
B-15
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 566,755.99 | 19.13 | % | |||||||
FINANCIAL SQUARE FEDERAL FUND INSTITUTIONAL SHARES | BAUPOST LIMITED PARTNERSHIP 1983 C1 C/O THE BAUPOST GROUP, L.L.C. 10 ST JAMES AVE STE 2000 BOSTON MA02116-3841 | 448,705,721.89 | 5.31 | % | ||||||
GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 4,629,677,158.01 | 54.81 | % | |||||||
ADMINISTRATION SHARES | CITIBANK NA ATTN: TERRI KEUM ATTN JOHN FIGHERA 111 WALL ST NEW YORK NY10005-3509 | 76,217,344.46 | 10.74 | % | ||||||
HARRIS N A 2000 S FINLEY RD LOMBARD IL60148-4825 | 110,992,253.14 | 15.65 | % | |||||||
BAND & CO C/O US BANK ATTN ACM DEPT PO BOX 1787 MILWAUKEE WI53201-1787 | 94,870,235.99 | 13.37 | % | |||||||
A.G. EDWARDS TRUST COMPANY FSB FBO TRUST CLIENTS ATTN: OPERATIONS PO BOX 66734 SAINT LOUIS MO63166-6734 | 42,435,247.77 | 5.98 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 72,794,019.61 | 10.26 | % | |||||||
SERVICE SHARES | LEE RAY & CO C/O COLE TAYLOR BANK ATTN OPERATIONS 111 W WASHINGTON ST STE 650 CHICAGO IL60602-2815 | 190,006,377.54 | 30.54 | % | ||||||
PREFERRED SHARES | METROPOLITAN NATIONAL BANK ATTN MYRA UNDERWOOD PO BOX 8010 LITTLE ROCK AR72203-8010 | 107,652,144.92 | 86.69 | % | ||||||
SELECT SHARES | THE GOLDMAN SACHS GROUP, L.P. FSQ FFEDE SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,255.69 | 100.00 | % | ||||||
CAPITAL SHARES | POLI-TRON INC 3001 N ROUSE ST PITTSBURG KS66762-2404 | 1,502,232.49 | 29.15 | % | ||||||
TERRY LUSCOMBE 1611 560TH AVE ARMSTRONG IA50514-7527 | 3,650,635.43 | 70.83 | % | |||||||
FINANCIAL SQUARE GOVERNMENT FUND INSTITUTIONAL SHARES | THE MUSEUM OF MODERN ART ATTN: MARSHA R SOCKOL ACCOUNTING MANAGER 11 W 53RD ST NEW YORK NY10019-5497 | 167,948,519.01 | 5.53 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 393,701,957.22 | 12.96 | % | |||||||
B-16
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 185,424,502.42 | 6.10 | % | |||||||
SEI TRUST COMPANY C/O TRUST COMPANY OF KENTUCKY ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DR OAKS PA 19456 | 259,356,597.35 | 8.54 | % | |||||||
CALHOUN & CO C/O COMERICA BANK ATTN: FUND UNIT PRODUCTION MAIL CODE 3455 411 W LAFAYETTE BLVD DETROIT MI48226-3120 | 248,368,108.45 | 8.18 | % | |||||||
ADMINISTRATION SHARES | CITIBANK FBO UNITED TELEVISION 111 WALLST #5/15TH FL-ZONE 8 NEW YORK NY10005-3509 | 66,285,707.28 | 5.34 | % | ||||||
HARE & CO. C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 281,183,510.07 | 22.67 | % | |||||||
AMALGAMATED BANK OF CHICAGO ATTN DEBRA OUTLAW — 3RD FL 1 W MONROE ST CHICAGO IL60603-5384 | 132,612,938.48 | 10.69 | % | |||||||
FIRST NATIONAL BANK OF OMAHA FBO MONEY MARKET SWEEP ACCTS ATTN DAVID COTA 1620 DODGE ST STOP 1089 OMAHA NE68197-0003 | 215,532,884.12 | 17.38 | % | |||||||
PENFIRN CO. FIRST NATIONAL BANK OF OMAHA ATTN: ALAN E. SCHULZ — TRUST PO BOX 3128 OMAHA NE68103-0128 | 113,462,630.18 | 9.15 | % | |||||||
SERVICE SHARES | TD BANKNORTH NA ATTN DEPOSIT ACCOUNTING ME091-31N PO BOX 1377 LEWISTON ME04243-1377 | 56,524,209.74 | 13.53 | % | ||||||
FIRST CITIZENS BANK FOR ISB ATTN STEPHEN R MADDEN DAC45 PO BOX 27131 RALEIGH NC27611-7131 | 140,347,000.00 | 33.58 | % | |||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 50,383,361.81 | 12.06 | % | |||||||
BBC PARTNERSHIP ATTN CATHY RISLEY PO BOX 1401 LUBBOCK TX79408-1401 | 22,765,531.63 | 5.45 | % | |||||||
SAN DIEGO NATIONAL BANK ATTN DENYCE ANDERSEN 1420 KETTNER BLVD SAN DIEGO CA92101-2421 | 22,603,198.04 | 5.41 | % | |||||||
PREFERRED SHARES | BAND & CO C/O US BANK ATTN ACM DEPT PO BOX 1787 MILWAUKEE WI53201-1787 | 69,046,088.61 | 17.45 | % | ||||||
PENFIRN CO. FIRST NATIONAL BANK OF OMAHA ATTN: ALAN E. SCHULZ — TRUST PO BOX 3128 OMAHA NE68103-0128 | 22,904,592.02 | 5.79 | % | |||||||
BANC OF AMERICA SECURITIES 200 N COLLEGE ST 3RD FLR NORTH CHARLOTTE NC28255-0001 | 26,411,315.12 | 6.68 | % | |||||||
B-17
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
ARKANSAS STATE HIGHWAY EMP RET SYS FBO CASTLE ARK MANAGEMENT ATTN: LARRY DICKERSON PO BOX 2261 LITTLE ROCK AR72203-2261 | 130,920,915.83 | 33.10 | % | |||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 28,993,859.46 | 7.33 | % | |||||||
OKLAHOMA COUNTY TREASURER WORKERS COMPENSATION FUND 320 ROBERT S KERR AVE STE 307 OKLAHOMA CITY OK73102-3434 | 69,887,373.30 | 17.67 | % | |||||||
SELECT SHARES | BANC OF AMERICA SECURITIES 200 N COLLEGE ST 3RD FLR NORTH CHARLOTTE NC28255-0001 | 74,256,050.68 | 92.25 | % | ||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 4,127,624.78 | 5.13 | % | |||||||
CAPITAL SHARES | HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 8,029,679.58 | 5.37 | % | ||||||
DORMITORY AUTHORITY OF THE STATE OF NEW YORK 518 BROADWAY ALBANY NY12207-2705 | 47,536,362.46 | 31.79 | % | |||||||
3M ATTN PAT WALSCH 3M CENTER BLDG224-55-26 SAINT PAUL MN55144-1000 | 27,951,267.09 | 18.69 | % | |||||||
PROFESSIONAL INSURANCE CO ATTN LYNETTE MATZA 11605 MIRACLE HILLS DR STE 200 OMAHA NE68154-4467 | 13,168,398.50 | 8.81 | % | |||||||
AMERICAN TITLE INC ESCROW ACCT FIRST HORIZON INS ATTN CAROL YOUNG PO BOX 641010 OMAHA NE68164-7010 | 13,429,375.00 | 8.98 | % | |||||||
BELLEVUE PUBLIC SCHOOLS ATTN MARY KAY DAVENPORT 1600 HIGHWAY 370 BELLEVUE NE68005-3591 | 19,559,916.80 | 13.08 | % | |||||||
ADMINISTRATIVE SHARES | DAN BOARMAN DAROLYN BOARMAN JT TEN 604 SEA VISTA LN N MYRTLE BEACH SC29582-8908 | 82,821.45 | 15.00 | % | ||||||
GORDON T SMITH CYNTHIA V SMITH JT TEN 903 WESTMORELAND BLVD KNOXVILLE TN37919-7214 | 91,015.26 | 16.48 | % | |||||||
KNOX COUNTY ASSOCIATION FOR RETARDED CITIZENS CONTINGENCY ACCOUNT 3000 N CENTRAL ST KNOXVILLE TN37917-5117 | 178,545.77 | 32.34 | % | |||||||
VIC DAVIS CONSTRUCTION INC GENERAL ACCOUNT 1300 JAN WAY KINGSPORT TN37660-5373 | 137,718.79 | 24.94 | % | |||||||
FINANCIAL SQUARE MONEY MARKET FUND INSTITUTIONAL SHARES | PRUDENTIAL INVESTMENT MANAGEMENT SERVICE FBO MUTUAL FUND CLIENTS ATTN: PRUCHOICE UNIT MAIL STOP 194-201 194 WOOD AVE S ISELIN NJ08830-2710 | 1,810,291,526.74 | 12.64 | % | ||||||
B-18
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 5,061,111,298.58 | 35.33 | % | |||||||
WILLIAM STREET FUNDING CORP GOLDMAN SACHS ASSET MANAGEMENT 32 OLD SLIP NEW YORK NY10005-3500 | 1,222,180,792.79 | 8.53 | % | |||||||
ADMINISTRATION SHARES | HARE & CO. C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 95,160,332.69 | 15.88 | % | ||||||
FULTON FINANCIAL ADV TTEE FBO POLYTEK DEVELOPMENT CORP. P O BOX 3215 LANCASTER PA17604-3215 | 40,252,544.54 | 6.72 | % | |||||||
DUKE ENERGY CAROLINAS LLC DUKE POWER 2006A PROJECT FUND 422 S CHURCH ST PBO3 CHARLOTTE NC 28202 | 36,476,539.81 | 6.09 | % | |||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 93,344,344.71 | 15.58 | % | |||||||
SERVICE SHARES | TD BANKNORTH NA ATTN DEPOSIT ACCOUNTINGME091-31N PO BOX 1377 LEWISTON ME04243-1377 | 175,045,155.84 | 35.29 | % | ||||||
NBC SECURITIES INC ATTN BRADFORD L PHELAN 1927 FIRST AVE N BIRMINGHAM AL35203-4024 | 200,942,144.00 | 40.51 | % | |||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 42,471,355.18 | 8.56 | % | |||||||
PREFERRED SHARES | GOLDMAN SACHS EXECUTION & CLEARING LP FBO 7RF9 120 BROADWAY LBBY 6 NEW YORK NY10271-0097 | 9,102,597.82 | 8.40 | % | ||||||
BEHZAD NEHMADI 1111 LA COLLINA DR BEVERLY HILLS CA90210-2634 | 9,823,615.12 | 9.07 | % | |||||||
GOLDMAN SACHS EXECUTION & CLEARING LP FBO 797S 120 BROADWAY FL 6 NEW YORK NY10271-0097 | 7,855,125.23 | 7.25 | % | |||||||
ALCOA INC 201 ISABELLA ST PITTSBURGH PA15212-5858 | 7,535,517.77 | 6.95 | % | |||||||
CEDAR RAPIDS BANK AND TRUST CO ATTN ACCOUNTING DEPT 3551 7TH ST MOLINE IL61265-6156 | 11,451,221.90 | 10.57 | % | |||||||
MARION ELIZABETH GREENE 9626 SW HARBOR DR VASHON WA98070-7037 | 6,546,670.47 | 6.04 | % | |||||||
BANC OF AMERICA SECURITIES 200 N COLLEGE ST 3RD FLR NORTH CHARLOTTE NC28255-0001 | 11,716,073.33 | 10.81 | % | |||||||
WACHOVIA CAPITAL MARKETS LLC ATTN MONEY FUNDS MAIL CODE NC 0675 BLDG 1B1 1525 W WT HARRIS BLVD CHARLOTTE NC28262-8522 | 8,613,604.96 | 7.95 | % | |||||||
B-19
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SELECT SHARES | SEI TRUST COMPANY C/O TREASURY POINT ATTN: MUTUAL FUND ADMINISTRATOR 1 FREEDOM VALLEY DR OAKS PA 19456 | 136,024,381.77 | 93.48 | % | ||||||
CAPITAL SHARES | DELMAS P SPIVEY 401 RIVER OAK WAY PHENIX CITY AL36867-1306 | 1,607,484.00 | 9.47 | % | ||||||
ALAN W KRUEGER 10746 CEDAR RIDGE CT PEOSTA IA52068-9712 | 1,559,945.35 | 9.19 | % | |||||||
DISTRICT OF COLUMBIA WATER AND SEWER AUTHORITY SERIES A CONSTRUCTION ACCOUNT 5000 OAKWOOD AVE SW WASHINGTON DC 20032 | 10,124,007.86 | 59.62 | % | |||||||
CENTRAL VIRGINA FOOD BANK ATTN ROY PETERS 1415 RHOADMILLER ST RICHMOND VA23220-1111 | 1,491,951.25 | 8.79 | % | |||||||
ADMINISTRATIVE SHARES | ALFRED A ADAMS 1331/2 PUBLIC SQ LEBANON TN37087-2735 | 329,877.96 | 14.86 | % | ||||||
FINANCIAL SQUARE PRIME OBLIGATIONS FUND INSTITUTIONAL SHARES | CITIBANK AS TRUSTEE FOR SLC 2004 1 COLL AC ATTN KRISTEN DRISCOLL 388 GREENWICH ST FL14 NEW YORK NY10013-2375 | 1,781,310,564.76 | 8.38 | % | ||||||
HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 3,759,192,608.46 | 17.68 | % | |||||||
WILLIAM STREET FUNDING CORP GOLDMAN SACHS ASSET MANAGEMENT 32 OLD SLIP NEW YORK NY10005-3500 | 2,847,422,490.66 | 13.39 | % | |||||||
ADMINISTRATION SHARES | CITIBANK FBO CHRIS CRAFT 111 WALL ST/ 15THFL-ZONE 8 NEW YORK NY 10005 | 375,355,188.98 | 7.18 | % | ||||||
HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 1,467,208,111.76 | 28.08 | % | |||||||
LASALLE NATIONAL BANK ATTN MUTUAL FUNDS OPS PO BOX 1443 CHICAGO IL60690-1443 | 340,787,167.49 | 6.52 | % | |||||||
AMALGAMATED BANK OF CHICAGO ATTN DEBRA OUTLAW 3RD FL 1 W MONROE ST CHICAGO IL60603-5384 | 275,300,389.62 | 5.27 | % | |||||||
MORI & CO ATTN TRUST OPERATIONS COMMERCE BANK OF KANSAS CITY 911 MAIN ST STE 201 KANSAS CITY MO64105-5304 | 437,129,158.58 | 8.37 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 288,861,000.00 | 5.53 | % | |||||||
B-20
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | FULTON BANK ATTN: VICE PRESIDENT CORP SVCS 1695 STATE ST E PETERSBURG PA17520-1328 | 84,654,386.80 | 5.00 | % | ||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 263,390,000.00 | 15.57 | % | |||||||
CENCO ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 148,949,988.86 | 8.81 | % | |||||||
PREFERRED SHARES | LAW DEBENTURE TRUST COMPANY OF NEW YORK 400 MADISON AVE FL 4 NEW YORK NY10017-1909 | 173,243,539.32 | 13.58 | % | ||||||
CITIBANK AS AGENT FOR THE TRUSTEE OF SSB RV TRUST 2001-1 COLLECTION A/C 111 WALL ST FL 15 ZONE 8 NEW YORK NY10005-3509 | 93,525,409.52 | 7.33 | % | |||||||
KFOC CITG PO BOX 21468 TULSA OK74121-1468 | 73,301,712.06 | 5.75 | % | |||||||
KAISER FRANCIS MANAGEMENT CO LLC ATTN REECE HEMBREE PO BOX 21468 TULSA OK74121-1468 | 192,058,634.05 | 15.06 | % | |||||||
MORI & CO. ATTN: TRUST OPERATIONS COMMERCE BANK OF KANSAS CITY 911 MAIN ST STE 201 KANSAS CITY MO64105-5304 | 66,008,506.14 | 5.17 | % | |||||||
UNION BANK OF CALIFORNIA SWEEP ACCOUNT PO BOX 85484 SAN DIEGO CA92186-5484 | 76,612,879.57 | 6.01 | % | |||||||
SELECT SHARES | FOX & CO 525 WASHINGTON BLVD STE A JERSEY CITY NJ07310-1639 | 277,320,892.22 | 64.29 | % | ||||||
SEI TRUST COMPANY C/O TREASURY POINT ATTN: MUTUAL FUND ADMINISTRATOR 1 FREEDOM VALLEY DR OAKS PA 19456 | 126,435,589.72 | 29.31 | % | |||||||
CAPITAL SHARES | HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 134,303,222.79 | 19.93 | % | ||||||
PRAIRIE FARMS AND AFFILIATES POOLED INVESTMENT AC ATTN PAUL BENNE 1100 BROADWAY ST CARLINVILLE IL62626-1183 | 56,781,213.74 | 8.43 | % | |||||||
ELECTION SYSTEMS SOFTWARE ATTN ROB KNAAK 11208 JOHN GALT BLVD OMAHA NE68137-2364 | 39,455,000.00 | 5.86 | % | |||||||
PENFIRN CO. FIRST NATIONAL BANK OF OMAHA ATTN: ALAN E. SCHULZ — TRUST PO BOX 3128 OMAHA NE68103-0128 | 77,799,064.58 | 11.55 | % | |||||||
SERVICE SHARES | CAMILLA B ELLIS WILLIAM R ELLIS JT TEN 4681 CHATHAM ST BOULDER CO80301-4031 | 272,690.95 | 9.35 | % | ||||||
B-21
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
TATE STREET BANK & TRUST CUST FOR THE IRAR/O OF ROBERT L BUCKLES 5236 WINDJAMMER RD PLANO TX75093-4023 | 161,661.63 | 5.54 | % | |||||||
JOAN PENROD REAL ESTATE INC PO BOX 2002 AUBURN AL36831-2002 | 208,536.13 | 7.15 | % | |||||||
FINANCIAL SQUARETAX-FREE MONEY MARKET FUND INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,606,497,228.52 | 47.10 | % | ||||||
BANC OF AMERICA SECURITIES 200 N COLLEGE ST 3RD FLR NORTH CHARLOTTE NC28255-0001 | 455,712,245.71 | 5.95 | % | |||||||
ADMINISTRATION SHARES | A G EDWARDS TRUST COMPANY FSB FBO TRUST CLIENTS ATTN: OPERATIONS PO BOX 66734 SAINT LOUIS MO63166-6734 | 77,050,682.13 | 15.74 | % | ||||||
COMMERCE BANK OF KANSAS CITY NA ATTN MUTUAL FUND PROCESSING 911 MAIN ST STE 201 KANSAS CITY MO64105-5304 | 195,604,447.66 | 39.96 | % | |||||||
PENFIRN CO. FIRST NATIONAL BANK OF OMAHA ATTN: ALAN E. SCHULZ — TRUST PO BOX 3128 OMAHA NE68103-0128 | 47,160,568.08 | 9.63 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 26,591,000.00 | 5.43 | % | |||||||
FIRST NATIONAL BANK OF ARIZONA TRUST & WEALTH MANAGEMENT 600 STEWART ST STE 1720 SEATTLE WA98101-1258 | 26,626,547.45 | 5.44 | % | |||||||
SERVICE SHARES | HILLSDALE COUNTY NATIONAL BANK ATTN DEB SMITH 1 S HOWELL ST HILLSDALE MI49242-1811 | 13,088,860.81 | 6.01 | % | ||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 17,166,000.00 | 7.88 | % | |||||||
CENCO ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 109,761,778.22 | 50.37 | % | |||||||
PREFERRED SHARES | STRATEGIC ENERGY LLC TWO GATEWAY CENTER 9 FL PITTSBURGH PA15222-1423 | 6,122,963.67 | 5.73 | % | ||||||
COMMERCE BANK OF KANSAS CITY NA ATTN MUTUAL FUND PROCESSING 911 MAIN ST STE 201 KANSAS CITY MO64105-5304 | 56,389,430.15 | 52.81 | % | |||||||
ATLAS AMERICA INC ATTN CHRIS BAUSCH 3500 MASSILLON RD STE 100 UNIONTOWN OH44685-9575 | 10,264,199.75 | 9.61 | % | |||||||
SELECT SHARES | DANIEL R KING ELIZABETH A KING JTWROS PO BOX 4005 SEVIERVILLE TN37864-4005 | 15,607,142.87 | 21.68 | % | ||||||
B-22
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
MIDFIRST BANK, FSB PO BOX 26750 OKLAHOMA CITY OK73126-0750 | 29,066,437.16 | 40.38 | % | |||||||
BANK OF NEVADA 2700 W SAHARA AVE LAS VEGAS NV89102-1700 | 25,713,787.34 | 35.72 | % | |||||||
CAPITAL SHARES | GOLDMAN SACHS EXECUTION & CLEARING LP FBO 5128831 120 BROADWAY LBBY 6 NEW YORK NY10271-0097 | 25,850,703.20 | 20.21 | % | ||||||
1ST SOURCE BANK ATTN TRUST OPERATIONS PO BOX 1602 SOUTH BEND IN46634-1602 | 63,346,253.99 | 49.51 | % | |||||||
HAWS & CO C/O GUARANTY BANK & TRUST CO. 6501 E BELLEVIEW AVE STE 400 ENGLEWOOD CO80111-6020 | 31,479,027.93 | 24.60 | % | |||||||
SERVICE SHARES | ELIZABETH WATFORD 14113 CRANWOOD PARK BLVD GARFIELD HEIGHTS OH44125-1863 | 33,657.86 | 30.53 | % | ||||||
GARY LEE FINK STACY FINK JT TEN 13902 MAN O WAR CT CRP CHRISTI TX78418-6340 | 22,389.41 | 20.31 | % | |||||||
ALEADA LEE 111 PLAINSMAN HILLS LN AUBURN AL36830-4292 | 8,402.53 | 7.62 | % | |||||||
JOHN LEE DROMGOOLE & JANE DROMGOOLE JT TEN 6409 THOMAS SPRINGS RD AUSTIN TX78736-2324 | 44,289.57 | 40.18 | % | |||||||
ADMINISTRATIVE SHARES | LARRY E WRIGHT MARTHA M WRIGHT JT TEN PO BOX 740 LENOIR CITY TN37771-0740 | 191,931.96 | 63.43 | % | ||||||
LINDA HUTCHISON TTEE LINDA HUTCHISON REV TRUST DTD10/18/90 154 BRIARWOOD N OAK BROOK IL60523-8718 | 73,989.77 | 24.45 | % | |||||||
DAVID A HUTCHISON TTEE DAVID A HUTCHISON REV TRUST DTD6/20/88 154 BRIARWOOD N OAK BROOK IL60523-8718 | 21,730.80 | 7.18 | % | |||||||
FINANCIAL SQUARE TREASURY INSTRUMENTS FUND INSTITUTIONAL SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUNDS OPS 85 BROAD ST. NEW YORK NY10004-2434 | 556,480,522.64 | 25.44 | % | ||||||
SEI TRUST COMPANY C/O FIRST HAWAIIAN BANK ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 253,503,330.63 | 11.59 | % | |||||||
CALHOUN & CO C/O COMERICA BANK ATTN: FUND PRODUCTION UNIT MAIL CODE 3455 411 W LAFAYETTE BLVD DETROIT MI48226-3120 | 480,576,524.48 | 21.97 | % | |||||||
TRUSTMARK NATIONAL BANK TTEE FBO VARIOUS TRUST ACCOUNTS 248 E CAPITOL ST JACKSON MS39201-2503 | 387,048,503.94 | 17.69 | % | |||||||
B-23
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
ADMINISTRATION SHARES | CITIBANK AS TRUSTEE FBO SASCO 2005 2XS RESERVE FUND ATTN KAREN SCHULTER ATTN VALERIE DELGADO 388 GREENWICH ST FL 14 NEW YORK NY10013-2375 | 66,111,196.61 | 7.74 | % | ||||||
GOLDMAN SACHS EXECUTION & CLEARING LP 120 BROADWAY LBBY 6 NEW YORK NY10271-0097 | 59,093,397.81 | 6.92 | % | |||||||
HARE & CO C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 308,411,615.01 | 36.12 | % | |||||||
PILGRIM & BAXTER DISTRIBUTION FINAL FAIR FUND 244 JACKSON ST FL 4 SAN FRANCISCO CA94111-1826 | 60,756,172.41 | 7.12 | % | |||||||
WILBRANCH & CO PO BOX 2887 WILSON NC27894-2887 | 164,354,733.35 | 19.25 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 68,493,373.16 | 8.02 | % | |||||||
SERVICE SHARES | TD BANKNORTH NA ATTN DEPOSIT ACCOUNTING ME091-31N PO BOX 1377 LEWISTON ME04243-1377 | 11,892,311.48 | 6.47 | % | ||||||
TAP & CO PO BOX 309 FRANKFORT KY40602-0309 | 13,290,123.12 | 7.24 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 54,405,000.00 | 29.62 | % | |||||||
CENCO ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 38,918,753.14 | 21.19 | % | |||||||
SAN DIEGO NATIONAL BANK ATTN DENYCE ANDERSEN 1420 KETTNER BLVD SAN DIEGO CA92101-2421 | 31,230,688.45 | 17.00 | % | |||||||
PREFERRED SHARES | CENCO ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 124,444,892.77 | 94.50 | % | ||||||
SELECT SHARES | VENTURE MICHIGAN FUND OPERATING ACCOUNT 11 MADISON AVE FL 13 NEW YORK NY10010-3643 | 30,068,206.38 | 100.00 | % | ||||||
CAPITAL SHARES | STATE OF WISCONSIN 101 E WILSON ST FL 10 MADISON WI53702-0001 | 18,900,512.13 | 95.96 | % | ||||||
FINANCIAL SQUARE TREASURY OBLIGATIONS FUND INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 138,339,782.94 | 7.32 | % | ||||||
BAND & CO C/O US BANK ATTN ACM DEPT PO BOX 1787 MILWAUKEE WI53201-1787 | 129,395,301.09 | 6.85 | % | |||||||
B-24
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
PENFIRN CO. FIRST NATIONAL BANK OF OMAHA ATTN: ALAN E. SCHULZ — TRUST PO BOX 3128 OMAHA NE68103-0128 | 153,938,866.80 | 8.15 | % | |||||||
WACHOVIA CAPITAL MARKETS LLC ATTN MONEY FUNDS MAIL CODE NC 0675 BLDG 1B1 1525 W WT HARRIS BLVD CHARLOTTE NC28262-8522 | 470,526,448.14 | 24.90 | % | |||||||
ADMINISTRATIVE SHARES | HARE & CO. C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 1,007,230,612.26 | 36.78 | % | ||||||
THE FULTON COMPANY PO BOX 3215 LANCASTER PA17604-3215 | 186,588,340.36 | 6.81 | % | |||||||
MORI & CO COMMERCE BANK OF KANSAS CITY ATTN TRUST OPERATIONS 911 MAIN ST STE 201 KANSAS CITY MO64105-5304 | 620,913,953.50 | 22.67 | % | |||||||
SERVICE SHARES | BAY AREA INFRASTRUCTURE FINANCING AUTHORITY BAIFA 2006 PLDG REV PTA 101 8TH ST OAKLAND CA94607-4707 | 259,137,346.98 | 16.80 | % | ||||||
COMMERCE BANK AS TRUSTEE CORPORATE TRUST OPERATIONS PO BOX 1034 CHERRY HILL NJ08034-0009 | 306,466,836.34 | 19.87 | % | |||||||
PREFERRED SHARES | CENCO ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 73,171,435.93 | 82.26 | % | ||||||
AMERICAN NATIONAL BANK ATTN: SHARON L MOORE PO BOX 4477 WICHITA FALLS TX76308-0477 | 5,806,934.31 | 6.53 | % | |||||||
BANK OF NEVADA ATTN BRENT MEDOVICH 2700 W SAHARA AVE LAS VEGAS NV89102-1700 | 7,052,943.14 | 7.93 | % | |||||||
SELECT SHARES | THE GOLDMAN SACHS GROUP LP FSQ FTOPE SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 218.45 | 100.00 | % | ||||||
CAPITAL SHARES | HERITAGE OPERATING LP ATTN DIANE RUSSELL PO BOX 6789 HELENA MT59604-6789 | 54,760,559.57 | 8.13 | % | ||||||
1ST SOURCE BANK ATTN TRUST OPERATIONS PO BOX 1602 SOUTH BEND IN46634-1602 | 57,769,028.24 | 39.57 | % | |||||||
WILBRANCH & CO PO BOX 2887 WILSON NC27894-2887 | 38,544,918.71 | 26.40 | % | |||||||
CALIFORNIA INSURANCE COMPANY ATTN ROBERT STAFFORD 10805 OLD MILL RD OMAHA NE68154-2607 | 35,164,461.30 | 24.08 | % | |||||||
GLOBAL INCOME FUND SERVICE SHARES | FIFTH THIRD BANK TTEE FBO: BANK CHAMPAIGN P.O. BOX 3385 CINCINNATI OH45263-0001 | 21,002.27 | 67.78 | % | ||||||
B-25
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
HILLIARD LYONS CUST FOR ELLEN E MCCLESKEYROLLOVER IRA 5380 HOLMES RUN PKWY APT 401 ALEXANDRIA VA22304-2829 | 9,803.60 | 31.64 | % | |||||||
CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 9,764,253.03 | 38.25 | % | ||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 7,727,083.95 | 30.27 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 2,326,985.41 | 9.11 | % | |||||||
CLASS B SHARES | NFS LLC FEBO DOUG TAYLOR, WILLIAM CARSON TTEE FORWARD ELECTRICAL CONTRACTORSOF FLORIDA INC, U/A1/1/98 4437 SW PORT WAY PALM CITY FL34990-5586 | 94,284.89 | 8.59 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 67,018.14 | 6.10 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 598,506.56 | 54.51 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC ROLLOVER IRA FBO KAREN W KINNEY 1612 W CHURCHILL DOWNS GERMANTOWN TN38138-1911 | 72,460.16 | 16.70 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 25,824.04 | 5.95 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 44,680.68 | 10.30 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 71,359.11 | 16.44 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 57,188.36 | 13.18 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — GLOBAL INCOME FUND PO BOX 1713 BOSTON MA02205-1713 | 74,065,792.52 | 98.29 | % | ||||||
GOVERNMENT INCOME FUND CLASS A SHARES | NFS LLC FEBO EMILY KORFEL TOD JANET M BOND 9286 NW 9TH CT PLANTATION FL33324-6176 | 1,900,187.96 | 8.73 | % | ||||||
HARTFORD LIFE INSURANCE CO SEPERATE ACCOUNT 401 ATTN DAVID BROECK PO BOX 2999 HARTFORD CT06104-2999 | 2,521,028.77 | 11.58 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,001,272.58 | 9.19 | % | |||||||
B-26
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PP7 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,186,976.85 | 5.45 | % | |||||||
NATIONWIDE TRUST CO F S B C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH43218-2029 | 2,613,986.51 | 12.01 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 1,181,395.55 | 5.43 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC IRA FBO RICHARD TERRANOVA 33 TIBER PL STATEN ISLAND NY10301-4533 | 186,766.71 | 16.45 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 96,695.83 | 8.51 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 88,039.68 | 7.75 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 66,039.28 | 5.82 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 61,157.30 | 5.39 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 194,935.61 | 17.17 | % | |||||||
CLASS C SHARES | NFS LLC FEBO GORDANA MANDARIC TTEE OF THE GOR MANDARIC 1996 TR U/A11/22/96 27 LABURNUM RD ATHERTON CA94027-2123 | 112,721.83 | 13.71 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 154,655.95 | 18.81 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR6 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 239,120.45 | 29.09 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO SOFIA C SANCHEZ TTEE SOFIA C SANCHEZ TR U/A4/10/01 4617 N OZANAM AVE NORRIDGE IL60706-4503 | 1,380,619.32 | 9.97 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 7,410,282.62 | 53.52 | % | |||||||
B-27
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,665,619.17 | 12.03 | % | |||||||
SEI TRUST COMPANY C/O JOHNSON TRUST ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DR OAKS PA 19456 | 895,300.79 | 6.47 | % | |||||||
SERVICE SHARES | HARTFORD LIFE INSURANCE CO SEPARATE ACCOUNT 200 HOPMEADOW ST WEATOGUE CT06089-9793 | 225,318.91 | 10.28 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,235,266.21 | 56.38 | % | |||||||
DCGT AS TTEE AND/OR CUST FBO PRINCIPAL FINANCIAL GROUP OMNIBUS QUALIFIED ATTN NPIO TRADE DESK 711 HIGH STREET DES MOINES IA50309-2732 | 120,054.46 | 5.48 | % | |||||||
WELLS FARGO BANK NA FBO RPS GOLDMAN SACHS GOV’T INCOME (SVC PO BOX 1533 MINNEAPOLIS MN55480-1533 | 429,293.18 | 19.60 | % | |||||||
GROWTH AND INCOME FUND CLASS A SHARES | EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 34,503,646.29 | 79.30 | % | ||||||
CLASS B SHARES | EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,412,232.65 | 62.29 | % | ||||||
CLASS C SHARES | NFS LLC FEBO GARY A ROGALINER TTEE GARY A ROGALINER TRUST U/A2/24/00 1461 GLENVIEW RD GLENVIEW IL60025-3113 | 59,229.08 | 5.30 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 101,500.30 | 9.08 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 135,984.09 | 12.16 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 72,024.21 | 6.44 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 320,062.13 | 28.62 | % | |||||||
B-28
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
A G EDWARDS & SONS C/F JEFFREY V OHLIN SEP IRA ACCOUNT 1381 PALMWOOD DR MELBOURNE FL32935-6047 | 99,244.29 | 8.87 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO FMT CO CUST IRA FBO JOHN MORCALDI 15 WOODRIDGE DR CHESHIRE CT06410-1943 | 487,765.44 | 33.35 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 233,057.17 | 15.93 | % | |||||||
WELLS FARGO BANK NA FBO RH & DM WALRATH A/M PO BOX 1533 MINNEAPOLIS MN55480-1533 | 602,947.49 | 41.22 | % | |||||||
SERVICE SHARES | NFS LLC FEBO FMT CO CUST IRA ROLLOVER FBO KEITH MATTOCKS 105 WATERSTONE VICTORIA TX77901-2771 | 7,911.72 | 15.65 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 9,630.69 | 19.06 | % | |||||||
SFTC FBO: TAIT TOWERS, INC. PO BOX 38 E PETERSBURG PA17520-0038 | 14,866.26 | 29.42 | % | |||||||
SFTC FBO: GODFREY ADVERTISING, INC. PO BOX 38 E PETERSBURG PA17520-0038 | 10,452.65 | 20.68 | % | |||||||
FULTON FINANCIAL ADV TTEE FBO PO BOX 3215 LANCASTER PA17604-3215 | 6,175.75 | 12.22 | % | |||||||
GROWTH AND INCOME STRATEGY PORTFOLIO CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 12,588,012.43 | 9.77 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 69,110,220.50 | 53.66 | % | |||||||
CLASS B SHARES | NFS LLC FEBO — MARY RUTH MILLNER TTEE MILLNER 2005 REVOC TR U/A3/23/05 155 JACKSON ST APT 608 SAN FRANCISCO CA94111-1924 | 952,383.47 | 8.41 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TL9 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3 FLOOR JACKSONVILLE FL32246-6484 | 1,030,007.20 | 9.10 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 1,525,959.15 | 13.48 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 3,776,569.73 | 33.37 | % | |||||||
B-29
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 635,275.17 | 5.61 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 4,386,416.80 | 9.79 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TL8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 13,654,894.82 | 30.49 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 5,287,043.06 | 11.80 | % | |||||||
DEAN WITTER FBO AMY WILLARD CUST FOR PO BOX 250 NEW YORK NY10008-0250 | 2,521,950.43 | 5.63 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO MANUEL ELLIS TANCER CLAIRE STROKER 1262 WHITTIER RD GROSSE POINTE MI48230-1112 | 12,595,867.29 | 44.95 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 9,806,951.57 | 35.00 | % | |||||||
MAC & CO MUTUAL FUND OPERATIONS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA15230-3198 | 2,255,871.41 | 8.05 | % | |||||||
CHARLES SCHWAB & CO INC SPEC CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 9601 E. PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 1,649,653.28 | 5.89 | % | |||||||
SERVICE SHARES | NFS LLC FEBO FMT CO CUST IRA FBO AMY H RYAN 1156 PINE GROVE AVE NE ATLANTA GA30319-3346 | 128,111.98 | 14.47 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 103,679.31 | 11.71 | % | |||||||
TRUSTCORP AMERICA 5301 WISCONSIN AVE NW FOURTH FLOOR WASHINGTON DC20015-2015 | 171,197.36 | 19.33 | % | |||||||
WACHOVIA BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 379,240.85 | 42.82 | % | |||||||
GROWTH OPPORTUNITIES FUND CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,877,939.72 | 10.00 | % | ||||||
NATIONWIDE TRUST CO F S B C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH43218-2029 | 2,536,066.76 | 6.54 | % | |||||||
B-30
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 6,077,125.87 | 15.67 | % | |||||||
A G EDWARDS & SONS INC WANDA L ROMBERGER R/O IRA 1 N JEFFERSON AVE SAINT LOUIS MO63103-2287 | 7,309,007.36 | 18.84 | % | |||||||
CLASS B SHARES | NFS LLC FEBO — JAMES T CARRACINO LOIS E CARRACINO 422 N OAK AVE PITMAN NJ08071-1024 | 279,037.41 | 9.84 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 149,982.89 | 5.29 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 254,809.31 | 8.99 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR7 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 219,444.39 | 7.74 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 230,880.71 | 8.14 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 345,198.75 | 12.18 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O. BOX 9446 MINNEAPOLIS MN55474-0001 | 268,550.95 | 9.47 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 587,569.09 | 10.74 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR7 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,642,225.42 | 30.03 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 366,474.05 | 6.70 | % | |||||||
ALTENLOH BRINCK & CO INC GOLDMAN SACHS/ADP 401K PLAN 6930 SAN TOMAS RD STE 4 ELKRIDGE MD21075-6227 | 643,098.36 | 11.76 | % | |||||||
A G EDWARDS & SONS CUSTODIAN FOR LINDA BILLS IRA ACCOUNT 660 FOX RUN LN ALGONQUIN IL60102-3949 | 502,012.72 | 9.18 | % | |||||||
INSTITUTIONAL SHARES | FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO INC FIIOC AS AGENT FOR CERTAIN EMPLOYEE BENEFITS PLANS 100 MAGELLAN WAY — KW1C COVINGTON KY41015-1999 | 2,436,255.73 | 7.29 | % | ||||||
B-31
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST ATTN LISA DUNCAN JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 1,718,677.30 | 5.14 | % | |||||||
NFS LLC FEBO FMT CO CUST IRA FBO DALE C PRIEST 1008 LINKSIDE DR BIRMINGHAM AL35242-6471 | 3,370,968.26 | 10.09 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,420,539.38 | 7.24 | % | |||||||
CHARLES SCHWAB TRUST COMPANY FBO DESERET MUTUAL SAVINGS PLANS 98 SAN JACINTO BLVD STE 1100 AUSTIN TX78701-4255 | 5,471,474.20 | 16.37 | % | |||||||
MINNESOTA LIFE INSURANCE 400 ROBERT ST N SAINT PAUL MN55101-2037 | 2,605,043.14 | 7.79 | % | |||||||
WACHOVIA BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 2,949,585.20 | 8.83 | % | |||||||
SERVICE SHARES | HARTFORD LIFE INSURANCE CO SEPARATE ACCOUNT 200 HOPMEADOW ST WEATOGUE CT06089-9793 | 55,783.09 | 11.85 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 296,224.00 | 62.94 | % | |||||||
FIFTH THIRD BANK CUST FBO BANK CHAMPAIGN RR PO BOX 3385 CINCINNATI OH45263-0001 | 84,228.80 | 17.90 | % | |||||||
GROWTH STRATEGY PORTFOLIO CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 8,226,375.80 | 8.89 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 5,330,138.79 | 5.76 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 32,493,288.02 | 35.13 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC SEP IRA FBO OLGA GARCIA 2816 WESSEX ST ORLANDO FL32803-6842 | 1,116,869.44 | 9.82 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 690,926.61 | 6.08 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM2 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,014,284.89 | 8.92 | % | |||||||
B-32
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 2,013,494.36 | 17.71 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 2,019,375.08 | 17.76 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 682,764.89 | 6.00 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC ROTH IRA FBO SUSAN F SAUDER 1035 LANDS END CT CARLSBAD CA92011-3408 | 2,853,801.60 | 5.45 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 7,231,823.31 | 13.82 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97TM1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 15,365,294.95 | 29.37 | % | |||||||
FIRST CLEARING LLC WILLIAM E CHUMLEY & CATHERINE A CHUMLEY JT TEN 21973 READING DR ANDERSON CA96007-8336 | 6,529,141.05 | 12.48 | % | |||||||
MORGAN STANLEY DW INC CUST FOR ALLAN W STEVENS PO BOX 250 NEW YORK NY10008-0250 | 3,470,764.09 | 6.63 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO MICHAEL A PERLSTEIN CUST SOPHIE ELIN PERLSTEIN UTMA AZ 8665 E WINDROSE DR SCOTTSDALE AZ85260-5327 | 6,138,893.16 | 53.44 | % | ||||||
FRIED FRANK HARRIS SHRIVER & JACOBSON LLP EMPLOYEE RETIREMENT PLAN 1 NEW YORK PLZ FL 28 NEW YORK NY10004-1901 | 826,733.71 | 7.20 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,536,597.17 | 22.08 | % | |||||||
MAC & CO MUTUAL FUND OPERATIONS PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA15230-3198 | 1,459,597.55 | 12.71 | % | |||||||
SERVICE SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN SERVICE TEAM SEC 97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 120,874.39 | 15.23 | % | ||||||
EMJAY CORPORATION CUSTODIAN FBO PLANS OF RPSA CUSTOMERS C/O GREAT WEST 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 67,679.41 | 8.53 | % | |||||||
TRUSTCORP AMERICA 5301 WISCONSIN AVE NW FOURTH FLOOR WASHINGTON DC20015-2015 | 134,998.83 | 17.01 | % | |||||||
B-33
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
WACHOVIA BANK FBO VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 333,036.41 | 41.96 | % | |||||||
HIGH YIELD FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 53,440,526.94 | 27.04 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 31,773,585.45 | 16.08 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 23,742,981.62 | 12.01 | % | |||||||
CLASS B SHARES | NFS LLC FEBO BETTY J WEAVER 10119 TRACY AVE KANSAS CITY MO64131-3347 | 992,900.90 | 8.37 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RJ3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 875,451.45 | 7.38 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 1,626,867.84 | 13.72 | % | |||||||
EDWARD JONES & CO ACCOUNTING 201 PROGRESS PKWY MARYLAND HTS MO63043-3009 | 3,439,657.28 | 29.00 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 1,125,542.80 | 9.49 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC IRA FBO JANICE CASTLEBERRY 614 HIDDEN FORREST LONGVIEW TX 75605 | 699,543.30 | 5.23 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 1,369,844.72 | 10.25 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 837,300.15 | 6.26 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR4 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 2,309,406.11 | 17.28 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 1,565,080.94 | 11.71 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,176,381.53 | 8.80 | % | |||||||
B-34
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO NFS/FMTC IRA FBO HARRY E MYLES LINDNER CAPITAL MANAGEMENT 10205 ROSEMONT CT FORT MYERS FL33908-2836 | 11,918,202.33 | 7.02 | % | ||||||
ALLMERICA FINANCIAL LIFE JOHN FOWLER ATTN REINSURANCE GROUP 85 BROAD ST FL 11 NEW YORK NY10004-2434 | 12,737,818.27 | 7.50 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 45,985,687.59 | 27.07 | % | |||||||
MAC & CO MUTUAL FUND OPS — TC PO BOX 3198 525 WILLIAM PENN PLACE PITTSBURGH PA15230-3198 | 11,528,126.20 | 6.79 | % | |||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH & INCOME HIGH YIELD FUND PO BOX 1713 BOSTON MA02205-1713 | 8,792,208.97 | 5.18 | % | |||||||
MINNESOTA LIFE INSURANCE C/O ADVANTUS CAPITAL MANAGEMENT 400 ROBERT ST N SAINT PAUL MN55101-2037 | 9,146,341.46 | 5.38 | % | |||||||
SERVICE SHARES | NFS LLC FEBO PAUL NAFFAH MD TTEE PAUL NAFFAH REVOCABLE TR U/A6/22/73 11317 LONGMEADOW DR WELLINGTON FL33414-7041 | 52,016.01 | 9.70 | % | ||||||
COUNSEL TRUST FBO PLUMBERS & PIPEFITTERS #112 PLAN 235 SAINT CHARLES WAY STE 100 YORK PA17402-4693 | 101,279.17 | 18.89 | % | |||||||
PRIMEVEST FINANCIAL SERVICES (FBO) WILLIAM E BISSONI 400 FIRST STREET SO SUITE 300 P.O. BOX 283 ST CLOUD MN56302-0283 | 34,899.04 | 6.51 | % | |||||||
ALERUS FINANCIAL PO BOX 6001 GRAND FORKS ND58206-6001 | 65,650.54 | 12.24 | % | |||||||
TRUSTCORP AMERICA 5301 WISCONSIN AVE NW STE 4 WASHINGTON DC20015-2015 | 65,388.23 | 12.19 | % | |||||||
RELIANCE TRUST CO CUSTODIAN FBO THE CHIMES PROFIT SHARING PL PO BOX 48529 ATLANTA GA30362-1529 | 60,400.76 | 11.26 | % | |||||||
HUBCO REGIONS FINANCIAL CORPORATION ATTN TRUST OPERATIONS, 5TH FL 250 RIVERCHASE PKWY E BIRMINGHAM AL35244-1832 | 46,685.60 | 8.71 | % | |||||||
MG TRUST COMPANY CUST. FBO POWER PRODUCTS UNLIMITED, INC. 700 17TH STREET SUITE 300 DENVER CO80202-3531 | 33,161.63 | 6.18 | % | |||||||
HIGH YIELD MUNICIPAL FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 275,523,737.67 | 79.37 | % | ||||||
B-35
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 24,166,422.59 | 6.96 | % | |||||||
CLASS B SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 701,045.39 | 13.70 | % | ||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 771,279.46 | 15.07 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 1,488,344.47 | 29.09 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 277,716.74 | 5.43 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 2,213,894.50 | 12.74 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 4,577,322.44 | 26.34 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 2,162,466.01 | 12.45 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 1,189,782.94 | 6.85 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 2,130,797.02 | 12.26 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 292,495,604.66 | 85.92 | % | ||||||
INCOME STRATEGIES PORTFOLIO CLASS A SHARES | FIRST CLEARING LLC THOMAS A COLLINS 813 MONACO DR PUNTA GORDA FL33950-8020 | 17,990.29 | 5.08 | % | ||||||
CLASS B SHARES | LPL FINANCIAL SERVICES 9785 TOWNE CENTRE DR SAN DIEGO CA92121-1968 | 329,679.46 | 93.09 | % | ||||||
CLASS C SHARES | FIRST CLEARING LLC LORETTA G DI CAMILLO IRA FCC AS CUSTODIAN 5318 SHOAL CREEK RD SUFFOLK VA23435-4226 | 59,920.97 | 93.83 | % | ||||||
B-36
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
INSTITUTIONAL SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 999,713.94 | 99.75 | % | ||||||
INSTITUTIONAL LIQUID ASSETS FEDERAL PORTFOLIO INSTITUTIONAL SHARES | NATIONAL FINANCIAL SERVICES FBO OUR CUSTOMERS 200 LIBERTY ST MUTUAL FUNDS FL 5 NEW YORK NY10281-1003 | 4,228,662.10 | 9.82 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 10,967,590.20 | 25.48 | % | |||||||
SHARTEL SMITH & KIMBERLEE SMITH 142 CREST RD RIDGEWOOD NJ07450-2402 | 2,350,340.45 | 5.46 | % | |||||||
HANK AARON’S CHASING THE DREAM FDTN ATTN: MR. HANK AARON TURNER FIELD 755 HANK AARON DR SW ATLANTA GA30315-1120 | 2,191,814.53 | 5.09 | % | |||||||
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ADMINISTRATION SHARES | GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 1,690,525,114.26 | 96.90 | % | ||||||
SERVICE SHARES | THE BANK OF NEW YORK AS AGENT AMERICAN FEDERATION OF MUSICIANS & EMPLOYERS PENSION FUND PO BOX 2673 NEW YORK NY10116-2673 | 5,700,281.14 | 7.07 | % | ||||||
THE BANK OF NEW YORK AS AGENT C/O KREISEL COMPANY INC., AAF BREVARD OWNERS CORP. BLDG. #434 205 E 42ND ST FL 6 NEW YORK NY10017-5706 | 4,304,492.28 | 5.34 | % | |||||||
DUIT CONSTRUCTION CO INC PO BOX 3788 EDMOND OK73083-3788 | 4,657,162.48 | 5.78 | % | |||||||
DE VRIES ELECTRIC INC ONE PROGRESSIVE DR PO BOX 260 PELLA IA50219-0260 | 4,677,000.00 | 5.80 | % | |||||||
CASH MANAGEMENT SHARES | M. GORDON EHRLICH, TTEE OF THE STEPHEN B. KAY FAMILY TRUST FBO JACQUELINE KAY CESSOU 16 ESSEX RD CHESTNUT HILL MA02467-1317 | 64,150.54 | 24.11 | % | ||||||
M. GORDON EHRLICH, TTEE OF THE STEPHEN B. KAY FAMILY TRUST FBO JULIE FLORENCE KAY 16 ESSEX RD CHESTNUT HILL MA02467-1317 | 63,569.09 | 23.89 | % | |||||||
LEVY INVESTMENT ACCOUNT #1 ATTN: PETER LEVY SAGE CAPITAL MANAGEMENT, LLC 120 BLOOMINGDALE RD WHITE PLAINS NY10605-1500 | 138,350.12 | 52.00 | % | |||||||
INSTITUTIONAL LIQUID ASSETS MONEY MARKET PORTFOLIO CASH MANAGEMENT SHARES | THE GOLDMAN SACHS GROUP LP ILA MONEY MARKET CM SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,024.00 | 95.16 | % | ||||||
INSTITUTIONAL SHARES | NATIONAL FINANCIAL SERVICES LLC FOR BENEFIT OF: PATRICIA HUDY IRA FFC AS CUSTODIAN 10281 | 207,963,526.86 | 63.33 | % | ||||||
B-37
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
PRUDENTIAL INVESTMENT MANAGEMENT SERVICE FBO MUTUAL FUND CLIENTS ATTN: PRUCHOICE UNIT MAIL STOP194-201 194 WOOD AVE S ISELIN NJ08830-2710 | 67,457,559.60 | 20.54 | % | |||||||
FIRST CLEARING, LLC WILLIAM J. PRIDEMORE PO BOX 1605 CLEMSON SC29633-1605 | 28,621,259.56 | 8.72 | % | |||||||
ADMINISTRATION SHARES | GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 638,468.98 | 5.48 | % | ||||||
PENKEY & CO. % BANK CENTRAL TRUST ATTN: GAYLA MCDANIEL PO BOX 685 MATTOON IL61938-0685 | 3,303,686.02 | 28.37 | % | |||||||
KEYCO ATTN TRUST PO BOX 1490 CHAMPAIGN IL61824-1490 | 3,090,774.04 | 26.55 | % | |||||||
YOUNG PLUMBING & HEATING CO PO BOX 1077 WATERLOO IA50704-1077 | 798,783.31 | 6.86 | % | |||||||
PDCM ATTN PAT MCKINNEY OR FRANK DOWIE III PO BOX 2597 WATERLOO IA50704-2597 | 1,735,711.43 | 14.91 | % | |||||||
DC INDUSTRIES INC ATTN DENNIS CLARK OR TRENT OLMSTEAD 200 IDA ST WATERLOO IA50701-1206 | 1,185,336.73 | 10.18 | % | |||||||
GRETEMAN GROUP INC ATTN DEBRA COMES 1425 E DOUGLAS WICHITA KS67211-1640 | 885,000.00 | 7.60 | % | |||||||
SERVICE SHARES | THE BANK OF NEW YORK AS AGENT MONMOUTH MALL LLC C/O VORNADO REALTY TRUST ATTN ACCOUNTING DEPT 210 ROUTE 4 E PARAMUS NJ 07652 | 1,952,583.46 | 5.06 | % | ||||||
THE BANK OF NEW YORK AS AGENT NATIONAL URBAN LEAGUE INC. 120 WALL ST FL 8 NEW YORK NY10005-3904 | 2,079,359.82 | 5.38 | % | |||||||
THE BANK OF NEW YORK AS AGENT VORNADO 2 PENN PLAZA LLC C/O VORNADO REALTY TRUST ATTN ACCOUNTING DEPT 210 ROUTE 4 E PARAMUS NJ 07652 | 6,182,657.09 | 16.01 | % | |||||||
THE BANK OF NEW YORK AS AGENT REALTY CORP #20 650 5TH AVE FL 28 NEW YORK NY10019-6108 | 4,656,588.39 | 12.06 | % | |||||||
THE BANK OF NEW YORK AS AGENT TGM REALTY CORP #30 650 5TH AVE FL 28 NEW YORK NY10019-6108 | 2,361,936.56 | 6.12 | % | |||||||
THE BANK OF NEW YORK AS AGENT TGM INVESTMENT CORP I 650 5TH AVE FL 28 NEW YORK NY10019-6108 | 2,360,017.63 | 6.11 | % | |||||||
THE BANK OF NEW YORK AS AGENT MICHAEL GRANITO LOIS GRANITO 36 PINE LAKE TER RIVERDALE NJ07675-6470 | 2,459,029.80 | 6.37 | % | |||||||
B-38
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
KEYCO ATTN TRUST PO BOX 1490 CHAMPAIGN IL61824-1490 | 2,631,061.00 | 6.81 | % | |||||||
INSTITUTIONAL LIQUID ASSETS PRIME OBLIGATIONS PORTFOLIO CASH MANAGEMENT SHARES | MARTIN BROS IMPLEMENT CO ATTN GARY ROGERS 1520 COUNTY ROAD 2100 E ROANOKE IL61561-7672 | 2,915,029.96 | 18.27 | % | ||||||
HEARTLAND AG INC ATTN LARRY HIRSBRUNNER PO BOX 167 FARMER CITY IL 61842 | 1,224,224.60 | 7.67 | % | |||||||
INDOFF INC ATTN JULIE FRANK 11816 LACKLAND RD SAINT LOUIS MO63146-4237 | 1,968,284.21 | 12.34 | % | |||||||
REEVE CATTLE CO INC ATTN LEE REEVE PO BOX 1036 GARDEN CITY KS67846-1036 | 2,892,574.57 | 18.13 | % | |||||||
REEVE AGRI ENERGY ATTN LEE REEVE PO BOX 1036 GARDEN CITY KS67846-1036 | 3,387,153.85 | 21.23 | % | |||||||
AMERICAN ASSOCIATION OF PETROLEUM GEOLOGISTS ATTN BRYAN HAWS PO BOX 979 TULSA OK74101-0979 | 1,755,435.44 | 11.00 | % | |||||||
AIRTEX MANUFACTURING INC ATTN MIKE BROWN 32050 W 83RD ST DE SOTO KS66018-9693 | 810,152.77 | 5.08 | % | |||||||
INSTITUTIONAL SHARES | NORTHERN TRUST CO ATTN SECURITIES LENDING 50 SOUTH LASALLE CHICAGO IL60603-1006 | 41,541,093.18 | 12.70 | % | ||||||
CONWOOD SALES COMPANY LP ATTN MR E S ROBERSON 813 RIDGE LAKE BLVD MEMPHIS TN38120-9470 | 214,888,752.74 | 65.70 | % | |||||||
HEWLETT-PACKARD COMPANY FOUNDATION ATTN: BESS STEPHENS 3000 HANOVER ST PALO ALTO CA94304-1112 | 22,408,946.99 | 6.85 | % | |||||||
ADMINISTRATION SHARES | FIRST NATIONAL BANK OF SANTA FE ATTN: TRUST DEPT PO BOX 609 SANTA FE NM87504-0609 | 56,418,570.70 | 70.53 | % | ||||||
SERVICE SHARES | PERSHING LLC FIRM (CORRECTION) ACCOUNT 1 PERSHING PLZ JERSEY CITY NJ07399-0002 | 147,693,393.41 | 46.99 | % | ||||||
GOLDMAN SACHS & CO PO BOX 06050 CHICAGO IL60606-0050 | 154,973,999.67 | 49.31 | % | |||||||
SYSTEMATIC CONTROL CORP GOLDMAN SACHS/ADP 401K PLAN 20314 48TH AVE OAKLAND GDNS NY11364-1096 | 35,740,783.42 | 92.69 | % | |||||||
NFS LLC FEBO HILARY PARTRIDGE 16 STOKES WAY HIGH FALLS NY12440-5309 | 802,270.34 | 9.58 | % | |||||||
B-39
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 466,592.43 | 5.57 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 998,995.53 | 11.93 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 437,084.23 | 5.22 | % | |||||||
A G EDWARDS & SONS INC CUST FBO NINA WALKER R/O IRA 1 N JEFFERSON AVE SAINT LOUIS MO63103-2205 | 1,127,611.45 | 13.46 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55474-0001 | 668,585.46 | 7.98 | % | |||||||
INSTITUTIONAL LIQUID ASSETS TAX-EXEMPT CALIFORNIA PORTFOLIO INSTITUTIONAL SHARES | NATIONAL FINANCIAL SERVICES FBO OUR CUSTOMERS 200 LIBERTY ST MUTUAL FUNDS FL 5 NEW YORK NY10281-1003 | 65,147,168.13 | 55.80 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 12,290,514.87 | 10.53 | % | |||||||
WORLDWIDE CORPORATE HOUSING LP 2222 CORINTH AVE LOS ANGELES CA90064-1602 | 8,066,318.40 | 6.91 | % | |||||||
R & B REALTY GROUP R&B EXECUTIVE OFFICES 091 ATTN ERIC MAIER 2222 CORINTH AVE LOS ANGELES CA90064-1600 | 15,905,905.10 | 13.62 | % | |||||||
R & B REALTY GROUP DBA OAKWOOD MARINA DEL RAY COUNTRY CLUB APT DBA MARINA DEL RAY 749 2222 CORINTH AVE LOS ANGELES CA90064-1600 | 6,229,913.76 | 5.34 | % | |||||||
ADMINISTRATION SHARES | GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 362,491,224.66 | 96.82 | % | ||||||
SERVICE SHARES | THE GOLDMAN SACHS GROUP LP ILA CAL C SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,703.04 | 100.00 | % | ||||||
CASH MANAGEMENT SHARES | THE GOLDMAN SACHS GROUP LP ICAL CMS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,007.90 | 99.47 | % | ||||||
INSTITUTIONAL LIQUID ASSETS TAX-EXEMPT DIVERSIFIED PORTFOLIO INSTITUTIONAL SHARES | NATIONAL FINANCIAL SERVICES CORPORA FBO RONALD JOSH FEFERMAN 82 DEVONSHIRE ST #17A BOSTON MA02109-3605 | 73,663,374.17 | 53.18 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 17,367,663.03 | 12.54 | % | |||||||
B-40
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
DIANA RUSSELL TERLATO AS TRUSTEE OF THE DIANA RUSSELL TERLATO 2002 TRUST 611 E WOODLAND RD LAKE FOREST IL60045-1475 | 23,598,584.79 | 17.04 | % | |||||||
ADMINISTRATION SHARES | GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 538,988,640.53 | 93.32 | % | ||||||
SEI PRIVATE TRUST COMPANY C/O HSBC 762 ATTN MUTUAL FUND ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 37,052,339.34 | 6.42 | % | |||||||
SERVICE SHARES | PERSHING LLC FIRM (CORRECTION) ACCOUNT 1 PERSHING PLZ JERSEY CITY NJ07399-0002 | 6,013,533.44 | 30.05 | % | ||||||
GOLDMAN SACHS & CO. ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,106,752.20 | 5.53 | % | |||||||
COMPASS BANK SWEEP COORDINATOR AL BI SC TMO 701 32ND ST S BIRMINGHAM AL35233-3515 | 12,681,688.38 | 63.37 | % | |||||||
CASH MANAGEMENT SHARES | NORTHERN TRUST CO SECURITIES LENDING 50 SOUTH LASALLE ST CHICAGO IL60603-1006 | 578,616.22 | 100.00 | % | ||||||
CLASS A SHARES | ERIC B BECKMAN 10464 W SUNSET BLVD LOS ANGELES CA90077-3603 | 167,977.36 | 15.18 | % | ||||||
JUDITH TELL & ROBERT H TELL JT WROS 849 KNOLLWOOD TER WESTFIELD NJ07090-3459 | 393,627.03 | 35.57 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 266,426.27 | 24.07 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 73,182.78 | 6.61 | % | |||||||
FRANK SEAWALL 5200 SW 25TH BLVD UNIT 3202 GAINESVILLE FL32608-8923 | 85,836.12 | 7.76 | % | |||||||
INSTITUTIONAL LIQUID ASSETSTAX-EXEMPT NEW YORK PORTFOLIO INSTITUTIONAL SHARES | NATIONAL FINANCIAL SERVICES FBO OUR CUSTOMERS 200 LIBERTY ST MUTUAL FUNDS FL 5 NEW YORK NY10281-1003 | 26,388,753.21 | 46.30 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUNDS OPS 85 BROAD ST. NEW YORK NY10004-2434 | 5,355,828.24 | 9.40 | % | |||||||
SEI TRUST COMPANY C/OTIAA-CREF ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 22,529,883.44 | 39.53 | % | |||||||
ADMINISTRATION SHARES | GOLDMAN SACHS & CO 295 CHIPETA WAY FL 4 SALT LAKE CITY UT84108-1220 | 265,493,576.22 | 96.34 | % | ||||||
B-41
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | DR MONA R ACKERMAN 1020 5TH AVE NEW YORK NY10028-0133 | 385,841.61 | 83.97 | % | ||||||
BABAK ZAR MONSOUR ZAR JTWROS 22 SINCLAIR DR KINGSPOINT NY11024-1622 | 72,060.73 | 15.68 | % | |||||||
CASH MANAGEMENT SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,004.88 | 100.00 | % | ||||||
INSTITUTIONAL LIQUID ASSETS TREASURY INSTRUMENTS PORTFOLIO INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 772,685.80 | 20.12 | % | ||||||
PALESTRONI PROPERTIES, LLC C/O CHICAGO TITLE INSURANCE COMPANY 222 S 9TH ST STE 3250 MINNEAPOLIS MN55402-3808 | 2,238,896.47 | 58.29 | % | |||||||
MARSHALL WOLF INVESTMENTS ATTN MARSHALL WOLF PO BOX 566 CHURCH STREET STATION NEW YORK NY10008-0566 | 604,000.00 | 15.73 | % | |||||||
ADMINISTRATION SHARES | FNB-PIERRE ANITA BREHE 125 W SIOUX AVE PIERRE SD57501-2424 | 4,065,694.39 | 16.06 | % | ||||||
FIRST NATIONAL BANK OF MT. DORA ATTN: OPERATIONS PO BOX 1406 MOUNT DORA FL32756-1406 | 6,094,340.92 | 24.07 | % | |||||||
FIRST NATIONAL BANK OF SANTA FE ATTN: TRUST DEPT PO BOX 609 SANTA FE NM87504-0609 | 15,051,769.39 | 59.45 | % | |||||||
SERVICE SHARES | HARE & CO. C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 528,996,088.14 | 99.35 | % | ||||||
CASH MANAGEMENT SHARES | SIGNATURE BANK (MMF SETTELEMENT) ATTN LINNEA VIANT 565 5TH AVE FL 12 NEW YORK NY10017-2496 | 1,678,496.88 | 100.00 | % | ||||||
INSTITUTIONAL LIQUID ASSETS TREASURY OBLIGATIONS PORTFOLIO INSTITUTIONAL SHARES | STERNWHEEL AND CO AIG C/O STATE STREET BANK & TRUST ATTN JEN JEN KU JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 2,851,162.62 | 8.75 | % | ||||||
CHARLOTTE F BELSER 80 LYME RD APT 1024 HANOVER NH03755-1237 | 1,878,851.79 | 5.77 | % | |||||||
NORTHERN TRUST CO. SECURITIES LENDING 50 SOUTH LASALLE CHICAGO IL60603-1006 | 8,123,802.50 | 24.93 | % | |||||||
NATIONAL CITY BANK ATTN MONEY MARKET UNIT/LOC 5312 4100 W 150TH ST CLEVELAND OH44135-1389 | 10,481,292.05 | 32.17 | % | |||||||
B-42
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
LIBNAB & CO WESTERN COMMERCE BANK ATTN: TRUST DEPT. PO BOX 1627 LOVINGTON NM88260-1627 | 2,045,634.72 | 6.28 | % | |||||||
ADMINISTRATION SHARES | THE CITIZENS BANKING CO C/O THE OHIO BANK ATTN TRUST DEPARTMENT PO BOX 419 FINDLAY OH45839-0419 | 116,888.75 | 39.96 | % | ||||||
KLEIN BANK ATTN RON JACKELEN PO BOX 487 CHASKA MN55318-0487 | 160,559.99 | 54.90 | % | |||||||
FNB-PIERRE ANITA BREHE 125 W SIOUX AVE PIERRE SD57501-2424 | 15,031.75 | 5.14 | % | |||||||
SERVICE SHARES | HARE & CO. C/O THE BANK OF NEW YORK STIF DEPARTMENT 2ND FL 111 SANDERS CREEK PKWY EAST SYRACUSE NY13057-1382 | 544,992,230.35 | 99.89 | % | ||||||
CASH MANAGEMENT SHARES | LASALLE BANK NA CHICAGO DEFERRED EXCHANGE PO BOX 1443 CHICAGO IL60690-1443 | 21,169,950.73 | 100.00 | % | ||||||
INTERNATIONAL REAL ESTATE SECURITIES FUND INSTITUTIONAL SHARES | STATE STREET BANK & TR CO CUST GOLDMAN SACHS AGGRESSIVE GROWTH INTERNATIONAL REAL ESTATE SECURITIES FUND PO BOX 1713 BOSTON MA02205-1713 | 2,902,793.56 | 6.47 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 26,630,775.03 | 59.31 | % | |||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH STRATEGY INTERNATIONAL REAL ESTATE SECURITIES FUND PO BOX 1713 BOSTON MA02205-1713 | 6,695,240.93 | 14.91 | % | |||||||
STATE STREET BANK & TR CO CUST GS TRUST GROWTH & INCOME INTERNATIONAL REAL ESTATE SECURITIES FUND PO BOX 1713 BOSTON MA02205-1713 | 6,369,141.28 | 14.19 | % | |||||||
CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 2,807,588.66 | 5.74 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 40,467,516.26 | 82.78 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 2,553,110.65 | 5.22 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 163,055.75 | 22.76 | % | ||||||
B-43
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING LLC FRANCIS W PERRY AND 106 APREMONT CT DELAND FL32724-7307 | 57,317.15 | 8.00 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 46,924.35 | 6.55 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 56,823.28 | 7.93 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 128,437.88 | 17.93 | % | |||||||
INTERNATIONAL SMALL CAP FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,521,508.58 | 66.00 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 493,166.85 | 9.24 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC IRA FBO MATTHEW D ZIMMERMAN 59 HARLAN DR NEW ROCHELLE NY10804-1118 | 16,453.59 | 6.76 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 13,785.00 | 5.66 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 28,446.47 | 11.68 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 51,881.05 | 21.30 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 29,971.79 | 12.31 | % | |||||||
LPL FINANCIAL SERVICES 9785 TOWNE CENTRE DRIVE SAN DIEGO CA92121-1968 | 22,128.60 | 9.09 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC IRA FBO LAUREEN A KAPPERS 2014 KAL LN SW ROCHESTER MN55902-3416 | 32,987.76 | 7.68 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 62,740.66 | 14.60 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97U57 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 57,040.42 | 13.27 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 28,212.21 | 6.57 | % | |||||||
B-44
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 75,675.38 | 17.61 | % | |||||||
RESOURCES TRUST COMPANY TR CUSTODIAN UA IRA FBO EARL G BURKE SR PO BOX 5900 DENVER CO80217-5900 | 25,245.06 | 5.87 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO FMT CO CUST R/O IRA FBO MICHAEL J CLARKE 116 W 2ND ST HINSDALE IL60521-4015 | 488,651.06 | 10.34 | % | ||||||
DANE & CO47-000001.3 STATE STREET BANK FBO PINSK FUND CRUT MUTUAL FUNDS SWEEP BOX 5496 BOSTON MA02206-5496 | 433,260.00 | 9.16 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,241,270.82 | 68.56 | % | |||||||
SEI TRUST COMPANY C/O JOHNSON TRUST ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DR OAKS PA 19456 | 445,765.71 | 9.43 | % | |||||||
SERVICE SHARES | SFTC FBO: HENISE TIRE SERVICE, INC. PO BOX 38 E PETERSBURG PA17520-0038 | 11,143.42 | 19.75 | % | ||||||
HUBB & CO FBO RELIUS ACCOUNTS 665 LOCUST ST PO BOX 897 DES MOINES IA50306-0897 | 25,000.34 | 44.30 | % | |||||||
HUBCO REGIONS FINANCIAL CORP ATTN: TRUST OPERATIONS, 2ND FL 298 W VALLEY AVE BIRMINGHAM AL35209-4816 | 3,491.88 | 6.19 | % | |||||||
WELLS FARGO BANK NA FBO RETIREMENT PLAN SVCS PO BOX 1533 MINNEAPOLIS MN55480-1533 | 13,672.66 | 24.23 | % | |||||||
INVESTMENT GRADE CREDIT FUND CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 668,900.48 | 91.85 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 39,887.17 | 5.48 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 39,300.92 | 10.92 | % | ||||||
STATE STREET BANK & TR CO CUST GS INCOME STRATEGIES PORTFOLIO INVESTMENT GRADE CREDIT FUND PO BOX 1173 BOSTON MA02205-1173 | 50,674.03 | 14.09 | % | |||||||
GOLDMAN SACHS FOUNDATION ATTN KIM MAI SHUM 30 HUDSON ST JERSEY CITY NJ07302-4699 | 269,788.21 | 74.99 | % | |||||||
B-45
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 21,583,813.69 | 100.00 | % | |||||||
JAPANESE EQUITY FUND CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,487,548.25 | 61.85 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 190,954.00 | 7.94 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 139,454.60 | 5.80 | % | |||||||
CLASS B SHARES | NFS LLC FEBO DENNIS ROSEN ANNE THOMAS 33 CHAUNCEY LN ORCHARD PARK NY14127-2750 | 18,052.34 | 9.70 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 27,207.34 | 14.62 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 10,394.64 | 5.58 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 44,125.28 | 23.70 | % | |||||||
H&R BLOCK FINANCIAL ADVISORS DIME BUILDING 719 GRISWOLD ST STE 1700 DETROIT MI48226-3318 | 11,822.50 | 6.35 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 13,173.54 | 7.08 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 220,358.04 | 46.04 | % | ||||||
JANNEY MONTGOMERY SCOTT LLC BOBBY E TWITTY 1801 MARKET ST PHILADELPHIA PA19103-1628 | 29,405.46 | 6.14 | % | |||||||
JANNEY MONTGOMERY SCOTT LLC ROBERT W LYONS SEP IRA 1801 MARKET ST PHILADELPHIA PA19103-1628 | 28,717.89 | 6.00 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 83,750.75 | 17.50 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,212,278.84 | 99.39 | % | ||||||
B-46
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | FIFTH THIRD BANK CUST FBO BANK CHAMPAIGN RR PO BOX 3385 CINCINNATI OH45263-0001 | 19,725.25 | 99.08 | % | ||||||
LARGE CAP VALUE FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 24,931,362.28 | 40.71 | % | ||||||
PATTERSON & CO FBO HOYLE TANNER EE 401 K 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 3,681,935.34 | 6.01 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 6,905,858.20 | 11.28 | % | |||||||
CLASS B SHARES | NFS LLC FEBO FMT CO CUST IRA ROLLOVER FBO D Y MATSUMURA 1/6 SANAMBINKAO RD T SUTEP A MUANG 502 CHIANG MAI THAILAND | 126,959.18 | 6.00 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 279,946.60 | 13.24 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 186,494.62 | 8.82 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 201,669.75 | 9.53 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 178,556.31 | 8.44 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 298,657.32 | 14.12 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 206,134.31 | 9.75 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 3,242,486.08 | 47.17 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,640,009.98 | 23.86 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST ATTN LISA DUNCAN JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 5,763,524.96 | 7.98 | % | ||||||
NFS LLC FEBO FMT CO CUST IRA FBO FRANCIS J YULLING 85 GROZIER RD CAMBRIDGE MA02138-3314 | 26,528,709.96 | 36.71 | % | |||||||
B-47
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 11,203,845.93 | 15.51 | % | |||||||
PATTERSON & CO OMNIBUS CASH CASH ACCOUNT 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 4,282,628.91 | 5.93 | % | |||||||
SERVICE SHARES | SFTC FBO AUNTIE ANNES INC PO BOX 38 EAST PETERSBURG PA17520-0038 | 82,955.83 | 17.71 | % | ||||||
HARTFORD LIFE INSURANCE CO SEPARATE ACCOUNT 200 HOPMEADOW ST WEATOGUE CT06089-9793 | 24,716.05 | 5.28 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DR E FL 3 JACKSONVILLE FL32246-6484 | 132,406.31 | 28.27 | % | |||||||
RUANE & CO — TR PAUL PO BOX 6477 ITHACA NY14851-6477 | 28,557.00 | 6.10 | % | |||||||
PENFIRN & CO PO BOX 3327 OMAHA NE68103-0327 | 115,457.85 | 24.65 | % | |||||||
MID CAP VALUE FUND CLASS A SHARES | NFS LLC FEBO MILAGROS Y UYECIO JOHN LOUIS HOLLAND SR 17214 EQUESTRIAN TRL ODESSA FL33556-1841 | 8,978,926.99 | 8.24 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 12,259,516.59 | 11.25 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 12,611,856.09 | 11.58 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC IRA FBO EDWARD J LYNCH 12416 BALWYCK LN SAINT LOUIS MO63131-3646 | 582,949.75 | 6.05 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 1,744,007.20 | 18.10 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 487,115.57 | 5.06 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS5 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 2,619,258.23 | 27.19 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 959,464.91 | 9.96 | % | |||||||
B-48
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | NFS LLC FEBO FIRST MERCHANTS TRUST CO NA OMNIBUS RET PLANS/EB ASSETS PO BOX 1467 MUNCIE IN47308-1467 | 385,154.73 | 6.00 | % | ||||||
HARTFORD LIFE INSURANCE CO SEPARATE ACCOUNT 200 HOPMEADOW ST WEATOGUE CT06089-9793 | 518,967.97 | 8.08 | % | |||||||
GUARDIAN INSURANCE & ANNUITY CORP SEP ACCT L 3900 BURGESS PL EQUITY ACCTG 3S BETHLEHEM PA18017-9097 | 918,288.51 | 14.31 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,361,022.99 | 21.20 | % | |||||||
EMJAY CORP TTEE FASCORP PLANS 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 681,114.17 | 10.61 | % | |||||||
ST LOUIS 401K TTEE RELIANCE TRUST CO U/A PO BOX 48529 ATLANTA GA30362-1529 | 796,164.96 | 12.40 | % | |||||||
HUBCO REGIONS FINANCIAL CORPORATION ATTN TRUST OPERATIONS, 5TH FL 250 RIVERCHASE PARKWAY E BIRMINGHAM AL35244-1832 | 719,737.19 | 11.21 | % | |||||||
INSTITUTIONAL SHARES | FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO INC FIIOC AS AGENT FOR CERTAIN EMPLOYEE BENEFITS PLANS 100 MAGELLAN WAY — KW1C COVINGTON KY41015-1999 | 16,026,714.12 | 25.49 | % | ||||||
STATE STREET BANK & TR TTEE GS PROFIT SHARING MASTER TRUST CASH SWEEP SUPPORT GROUP JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 9,205,625.95 | 14.64 | % | |||||||
NFS LLC FEBO US BANK N.A. TTEE BNZ MATERIALS INC HOURLY 401K RETIREMENT PLAN 800 NICOLLET MALL BC MN H241 MINNEAPOLIS MN 55402 | 7,375,015.42 | 11.73 | % | |||||||
CLASS B SHARES | NFS LLC FEBO — FMT CO CUST IRA FBO DANIEL G JORDAN 940 ROBERTSON RD TAYLOR MILL KY41015-2144 | 470,792.86 | 8.99 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 337,007.15 | 6.43 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 354,582.45 | 6.77 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RP9 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 312,234.80 | 5.96 | % | |||||||
B-49
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 575,942.89 | 10.99 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 908,932.19 | 17.35 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 812,157.21 | 15.50 | % | |||||||
MUNICIPAL INCOME FUND INSTITUTIONAL SHARES | NFS LLC FEBO W R HAMM JAMIE B HAMM 369 PROMENADE ST W MONTGOMERY TX77356-8381 | 2,173,979.23 | 14.32 | % | ||||||
DANE & CO STATE STREET BANK SHAH R&B IRREV TR KAREN SHAH MUTUAL FUNDS SWEEP 3RD FL BOX 5496 BOSTON MA02206-5496 | 1,030,787.50 | 6.79 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,846,194.36 | 31.92 | % | |||||||
OLTRUST & CO PO BOX 966 EVANSVILLE IN47706-0966 | 1,157,396.72 | 7.62 | % | |||||||
A.G. EDWARDS TRUST COMPANY FSB FBO TRUST CLIENTS ATTN: OPERATIONS PO BOX 66734 SAINT LOUIS MO63166-6734 | 1,243,573.59 | 8.19 | % | |||||||
COMPASS BANK ATTN TRUST OPER 3RD LEVEL S P O BOX 10566 BIRMINGHAM AL35296-0566 | 3,518,299.46 | 23.17 | % | |||||||
SERVICE SHARES | BROWN BROTHERS HARRIMAN & CO. AS CUSTODIAN FOR 4941555 525 WASHINGTON BLVD. JERSEY CITY NJ07310-1692 | 22,400.00 | 53.03 | % | ||||||
TRUSTCORP AMERICA 5301 WISCONSIN AVE NW FOURTH FLOOR WASHINGTON DC20015-2015 | 18,806.10 | 44.52 | % | |||||||
CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 12,328,720.18 | 54.96 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 5,202,010.38 | 23.19 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 139,140.63 | 17.92 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR9 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 127,267.13 | 16.39 | % | |||||||
B-50
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 84,046.73 | 10.82 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 127,159.16 | 16.38 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 45,273.36 | 5.83 | % | |||||||
CLASS B SHARES | NFS LLC FEBO MARILYN C HOCK ROBERT L HOCK 7 SKIFF MT ROAD SHARON CT 06069 | 70,564.57 | 10.32 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 54,565.43 | 7.98 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PR0 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 96,762.64 | 14.15 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 82,960.20 | 12.14 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 165,668.71 | 24.23 | % | |||||||
NEW YORK INTERMEDIATEAMT-FREE MUNICIPAL FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,509,283.83 | 92.68 | % | ||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RR1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 4,997.73 | 99.90 | % | ||||||
INSTITUTIONAL SHARES | SEI PRIVATE TR CO ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 108,530.24 | 15.59 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 583,029.47 | 83.74 | % | |||||||
REAL ESTATE SECURITIES FUND CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 1,067,803.26 | 5.07 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 11,774,965.89 | 55.93 | % | |||||||
B-51
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,921,317.47 | 9.13 | % | |||||||
CLASS C SHARES | NFS LLC FEBO TERRY SCHNEIDER 219 CURTIS AVE STOUGHTON MA02072-3007 | 77,567.31 | 6.25 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 72,447.68 | 5.84 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 254,325.09 | 20.51 | % | |||||||
A G EDWARDS & SONS CUSTODIAN FOR EVELYN A. WILSON ROLLOVER IRA ACCOUNT 2734 E 105 N IDAHO FALLS ID83401-5442 | 87,086.23 | 7.02 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 162,043.99 | 13.07 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST ATTN LISA DUNCAN JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 8,077,780.59 | 30.52 | % | ||||||
STATE STREET BANK & TR CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — REAL ESTATE FUND PO BOX 1713 BOSTON MA02205-1713 | 6,228,407.62 | 23.53 | % | |||||||
GOLDMAN SACHS & CO FBO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 5,482,810.11 | 20.72 | % | |||||||
UBATCO & CO FBO COLLEGE SAVINGS PLAN OF NE PO BOX 82535 LINCOLN NE68501-2535 | 2,287,495.79 | 8.64 | % | |||||||
SERVICE SHARES | NFS LLC FEBO ADARSH KHARE 3988 262ND AVE SE ISSAQUAH WA98029-7730 | 34,421.02 | 6.40 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 314,539.92 | 58.44 | % | |||||||
FIFTH THIRD BANK CUST FBO BANK CHAMPAIGN RR PO BOX 3385 CINCINNATI OH45263-0001 | 30,921.34 | 5.75 | % | |||||||
ALERUS FINANCIAL PO BOX 6001 GRAND FORKS ND58206-6001 | 156,309.04 | 29.04 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC IRA FBO VIRGINIA M SANKER 365 SADDLE CREEK DR ROSEWELL GA30076-1083 | 71,135.36 | 7.13 | % | ||||||
B-52
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 93,794.33 | 9.40 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 80,899.41 | 8.11 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 51,196.33 | 5.13 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 149,057.11 | 14.94 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 189,971.89 | 19.04 | % | |||||||
SATELLITE STRATEGIES PORTFOLIO CLASS A SHARES | NFS LLC FEBO EDNA ERWIN PEASE TTEE EDNA J ERWIN FAMILY TR U/A5/2/91 56 EUCALYPTUS KNOLL ST MILL VALLEY CA94941-4644 | 23,042.72 | 21.50 | % | ||||||
FIRST CLEARING LLC WALDO COE SEP IRA FCC AS CUSTODIAN 2344 PINTA DR WINSTON SALEM NC27106-9759 | 44,559.61 | 41.58 | % | |||||||
WELLS FARGO INVESTMENTS LLC 625 MARQUETTE AVE FL 13 MINNEAPOLIS MN55402-2308 | 5,963.37 | 5.56 | % | |||||||
LPL FINANCIAL SERVICES 9785 TOWNE CENTRE DR SAN DIEGO CA92121-1968 | 29,822.39 | 27.83 | % | |||||||
FIRST CLEARING LLC CHRISTOPHER S LYNN SEP IRA FCC AS CUSTODIAN 30 MAGNOLIA LNDG HATTIESBURG MS39402-7960 | 18,164.63 | 89.06 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 998,000.00 | 99.28 | % | ||||||
SHORT DURATION GOVERNMENT FUND INSTITUTIONAL SHARES | GOLDMAN SACHS EMPLOYEE TRUST — GL1Q C/O STATE ST BK & TRST GS TRUST W4B CASH SWEEP SUPPORT GROUP JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 4,667,397.42 | 8.00 | % | ||||||
STATE STREET BANK & TR CO CUST FBO GOLDMAN SACHS GRTH & INCOME STRATEGY OMNIBUS A/C SHORT DURATION FUND PO BOX 1713 BOSTON MA02205-1713 | 5,374,221.27 | 9.21 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 21,649,166.25 | 37.09 | % | |||||||
B-53
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
STATE STREET BANK & TR CO CUST GS TRUST BALANCED STRATEGY SHORT DURATION FUND PO BOX 1713 BOSTON MA02205-1713 | 17,513,240.94 | 30.01 | % | |||||||
SERVICE SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 130,073.51 | 14.91 | % | ||||||
FULTON FINANCIAL ADV TTEE FBO CLEAN TEAM BUILDING PO BOX 3215 LANCASTER PA17604-3215 | 317,499.58 | 36.39 | % | |||||||
EMJAY CORPORATION CUSTODIAN FBO PLANS OF RPSA CUSTOMERS C/O GREAT WEST 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 146,022.01 | 16.74 | % | |||||||
RELIANCE TRUST CO CUSTODIAN FOR SEL FBO CUE INC 401K RETIREMENT SAVINGS PO BOX 48529 ATLANTA GA30362-1529 | 75,684.44 | 8.67 | % | |||||||
HUBCO REGIONS FINANCIAL CORPORATION ATTN TRUST OPERATIONS, 2ND FL 298 W VALLEY AVE BIRMINGHAM AL35209-4816 | 108,281.46 | 12.41 | % | |||||||
CLASS A SHARES | NFS LLC FEBO NFS/FMTC R/O IRA FBO WESLEY C FOWLER JR 208 EDGEWATER CIR CHAPEL HILL NC27516-4418 | 7,100,863.99 | 25.70 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 2,122,310.93 | 7.68 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,416,000.75 | 15.98 | % | |||||||
NATIONWIDE TRUST CO F S B C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH43218-2029 | 2,500,240.96 | 9.05 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 1,432,090.95 | 5.18 | % | |||||||
CLASS C SHARES | NFS LLC FEBO DAVID A NARAINE TTEE DAVID A NARAINE LIVING TRUST U/A7/7/99 4900 N MARINE DR APT 502 CHICAGO IL60640-3960 | 386,141.16 | 11.97 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 193,418.39 | 6.00 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 669,311.38 | 20.75 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 355,119.33 | 11.01 | % | |||||||
B-54
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CLASS B SHARES | JPMORGAN CHASE BANK TRAD CUST FBO PAULETTE B CRAIN IRA 7001 HICKORY GROVE RD DEVILLE LA71328-9565 | 220,693.57 | 18.85 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 133,221.21 | 11.38 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC# 97P34 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 105,197.82 | 8.99 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 162,454.65 | 13.88 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 206,394.38 | 17.63 | % | |||||||
SHORT DURATION TAX-FREE FUND INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 13,940,183.98 | 71.05 | % | ||||||
CHARLES SCHWAB & CO INC SPEC. CUSTODY ACCT FBO CUSTOMERS ATTN: MUTUAL FUNDS 9601 E. PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 2,077,049.80 | 10.59 | % | |||||||
SERVICE SHARES | JEAN LICATA JOHN LICATA JOSEPH LICATA JT TEN 69 HELEN ST FANWOOD NJ07023-1540 | 411.57 | 8.52 | % | ||||||
MEHRAN BAJOGHLI & MEHDI BAJOGHLI JT TEN 1201 ALPS DR MCLEAN VA22102-1550 | 4,041.78 | 83.72 | % | |||||||
JOHN W ROSS PO BOX 18718 RENO NV89511-0718 | 373.12 | 7.73 | % | |||||||
CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 882,900.63 | 8.07 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 8,293,508.27 | 75.83 | % | |||||||
CLASS C SHARES | NFS LLC FEBO THE NORTHERN TRUST COMPANY REGULAR IRA FBO THOMAS E KOSINSKI 2527 W EASTWOOD AVE CHICAGO IL60625-2909 | 29,054.99 | 5.38 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 38,077.33 | 7.05 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 229,668.86 | 42.53 | % | |||||||
B-55
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 50,200.95 | 9.30 | % | |||||||
WELLS FARGO INVESTMENTS LLC 625 MARQUETTE AVE S 13TH FLOOR MINNEAPOLIS MN55402-2308 | 27,185.51 | 5.03 | % | |||||||
CLASS B SHARES | NFS LLC FEBO MAURA A KELLY 5621 NETHERLAND AVE APT 1B RIVERDALE NY10471-1733 | 48,667.02 | 34.13 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 20,229.40 | 14.19 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 15,388.40 | 10.79 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 14,901.19 | 10.45 | % | |||||||
SMALL CAP VALUE FUND INSTITUTIONAL SHARES | STATE STREET BANK AND TRUST CO FBO CITISTREET CORE MARKET 1 HERITAGE DR NORTH QUINCY MA02171-2105 | 1,499,813.62 | 8.35 | % | ||||||
FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO INC FIIOC AS AGENT FOR CERTAIN EMPLOYEE BENEFITS PLANS 100 MAGELLAN WAY — KW1C COVINGTON KY41015-1999 | 3,630,507.52 | 20.22 | % | |||||||
NFS LLC FEBO NFS/FMTC ROLLOVER IRA FBO FREDERICK T RIKKERS 419 VENTURE COURT VERONA WI53593-1821 | 1,291,490.03 | 7.19 | % | |||||||
MERCER TRUST COMPANY CUSTODIAN FBO MARSH AND MCLENNAN COMPANIES STOCK INVESTMENT PLAN ATTN DC PLAN ADMINISTRATION MS N 2 E ONE INVESTORS WAY NORWOOD MA02062-1599 | 1,458,722.31 | 8.12 | % | |||||||
GOLDMAN SACHS & CO 85 BROAD ST NEW YORK NY10004-2434 | 1,367,399.02 | 7.61 | % | |||||||
MITRA & CO FBO 98 C/O M&I TRUST COMPANY NA ATTN MUTUAL FUNDS 11270 W PARK PL STE 400 PPW 08 WM MILWAUKEE WI53224-3638 | 1,074,996.31 | 5.99 | % | |||||||
WELLS FARGO BANK NA FBO LANDSBERG,C IRA PO BOX 1533 MINNEAPOLIS MN55480-1533 | 2,250,303.94 | 12.53 | % | |||||||
SERVICE SHARES | NFS LLC FEBO 1ST SOURCE BANK TRUST OPERATIONS 2ND FLOOR PO BOX 1602 SOUTH BEND IN46634-1602 | 159,334.29 | 11.99 | % | ||||||
B-56
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
HARTFORD LIFE INSURANCE CO SEPARATE ACCOUNT 200 HOPMEADOW ST WEATOGUE CT06089-9793 | 185,575.68 | 13.97 | % | |||||||
GUARDIAN INSURANCE & ANNUITY CORP SEP ACCT L 3900 BURGESS PL EQUITY ACCTG 3S BETHLEHEM PA18017-9097 | 229,632.61 | 17.29 | % | |||||||
INVESTORS BANK & TRUST COMPANY AS TRUSTEE/CUSTODIAN FOR VARIOUS RETIREMENT PLANS ATTN DAVID STAVOLA 4 MANHATTANVILLE RD MD2-41 PURCHASE NY10577-2139 | 133,200.02 | 10.03 | % | |||||||
EMJAY CORPORATION CUSTODIAN FBO PLANS OF RPSA CUSTOMERS C/O GREAT WEST 8515 E ORCHARD RD 2T2 GREENWOOD VILLAGE CO80111-5002 | 176,258.10 | 13.27 | % | |||||||
ALERUS FINANCIAL PO BOX 6001 GRAND FORKS ND58206-6001 | 99,090.78 | 7.46 | % | |||||||
WILMINGTON TRUST COMP CUST FBO HUGGINS HOSPITAL 403(B) RETIREMENT SAVINGS PLAN AC 070078 001 1 PO BOX 8880 WILMINGTON DE19899-8880 | 114,937.19 | 8.65 | % | |||||||
CLASS A SHARES | HARTFORD LIFE INSURANCE CO SEPERATE ACCOUNT 401 ATTN DAVID BROECK PO BOX 2999 HARTFORD CT06104-2999 | 2,662,829.28 | 11.28 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,721,572.33 | 11.53 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 3,730,115.34 | 15.80 | % | |||||||
RELIANCE TRUST COMPANY CUST FBO INDEX CORPORATION RETIREMENT PLAN PO BOX 48529 ATLANTA GA30362-1529 | 1,418,835.15 | 6.01 | % | |||||||
CLASS C SHARES | NFS LLC FEBO NFS/FMTC IRA FBO MARGO F KELLY 5381 SHOREWOOD DR INDIANAPOLIS IN46220-3637 | 176,548.11 | 6.81 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 660,856.28 | 25.51 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 228,121.06 | 8.80 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97RT6 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 377,158.61 | 14.56 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 199,404.22 | 7.70 | % | |||||||
B-57
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CLASS B SHARES | NFS LLC FEBO FMT CO CUST IRA ROLLOVER FBO JASON A TOTEDO 1901 MANHATTAN AVE HERMOSA BEACH CA90254-2861 | 181,182.58 | 9.74 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 116,512.17 | 6.26 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 149,045.58 | 8.01 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 217,756.93 | 11.70 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 211,132.53 | 11.35 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O. BOX 9446 MINNEAPOLIS MN55474-0001 | 272,713.11 | 14.65 | % | |||||||
SMALL/MID CAP GROWTH FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 123,702.15 | 7.70 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 119,304.70 | 7.43 | % | |||||||
JACKSON TUBE SERVICE INC GOLDMAN SACHS/ADP 401K PLAN 8210 INDUSTRY PARK DR PIQUA OH45356-8536 | 84,411.19 | 5.25 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 484,459.45 | 30.15 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 226,484.75 | 14.10 | % | |||||||
CLASS B SHARES | NFS LLC FEBO — NFS/FMTC IRA FBO STEPHEN S NOEL 362 FUTURITY DR CAMP HILL PA17011-8359 | 13,484.63 | 7.78 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 35,976.86 | 20.76 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 10,755.48 | 6.21 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 19,200.15 | 11.08 | % | |||||||
B-58
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 45,319.53 | 26.15 | % | |||||||
CLASS C SHARES | UBS FINANCIAL SERVICES INC. FBO UBS-FINSVC CDN FBO MS ELLEN ZAPP P.O.BOX 3321, 1000 HARBOR BLVD WEEHAWKEN NJ07086-8154 | 54,329.30 | 12.03 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 90,884.55 | 20.13 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 42,925.28 | 9.51 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 23,954.22 | 5.31 | % | |||||||
A G EDWARDS & SONS CUST FBO TERRIBETH R GORDON IRA 2646 DERBY RD OTTAWA HILLS OH43615-2176 | 30,528.82 | 6.76 | % | |||||||
INSTITUTIONAL SHARES | GPC SEC INC AS AGENT FOR ML B&T CO FSB, TTEE FBO J.H. HARVEY CO., LLC 401(K) RETIREMENT PLAN PO BOX 105117 ATLANTA GA30348-5117 | 5,161,460.88 | 95.87 | % | ||||||
SERVICE SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,010.35 | 12.48 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 7,087.11 | 87.52 | % | |||||||
STRATEGIC GROWTH FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 8,773,995.00 | 65.59 | % | ||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 768,576.08 | 5.75 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 1,289,601.02 | 9.64 | % | |||||||
CLASS B SHARES | NFS LLC FEBO VALERIE GIORGIONE KAREN A FICOCIELLO FRANK L FARACO 5 DRUMMOND RD STONEHAM MA02180-2120 | 36,505.35 | 5.14 | % | ||||||
UBS FINANCIAL SERVICES INC. FBO UBS-FINSVC CDN FBO JULIA HEATH PO BOX 3321 WEEHAWKEN NJ07086-8154 | 61,376.54 | 8.63 | % | |||||||
B-59
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 43,836.66 | 6.17 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR7 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 74,706.70 | 10.51 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 122,991.99 | 17.30 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 48,970.55 | 6.89 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 62,410.64 | 8.78 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 82,323.42 | 7.67 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR7 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 309,664.91 | 28.85 | % | |||||||
A G EDWARDS CUST FBO VICKI KLAUSNER IRA 8218 E DEL CAMINO DR SCOTTSDALE AZ85258-2331 | 67,550.33 | 6.29 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 274,372.65 | 25.57 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 2,899,485.06 | 19.24 | % | ||||||
SEI TRUST CO C/O CITIZENS FLINT TPA ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 2,287,123.98 | 15.18 | % | |||||||
THE NORTHERN TRUST CO AS TRUSTEE FBO BAKER HUGHES INC SUPPLEMENTAL RETIREMENTPLAN-DV PO BOX 92994 CHICAGO IL60675-2956 | 2,008,494.17 | 13.33 | % | |||||||
JP MORGAN CHASE BANK AS TRUSTEE FBO SUN MICROSYSTEMS INC TAX DEFERRED RETIREMENT SAVINGS PLAN C/O JP MORGAN RPS MANAGEMENT RPTG TEAM PO BOX 419784 KANSAS CITY MO64141-6784 | 4,926,419.56 | 32.69 | % | |||||||
CHARLES SCHWAB & CO INC SPEC. CUSTODY ACCT FBO CUSTOMERS ATTN: MUTUAL FUNDS 9601 E. PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 1,218,047.32 | 8.08 | % | |||||||
B-60
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | GOLDMAN SACHS SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 150.09 | 50.58 | % | ||||||
FIFTH THIRD BANK TTEE FBO: BANK CHAMPAIGN P.O. BOX 3385 CINCINNATI OH45263-0001 | 146.02 | 49.21 | % | |||||||
STRUCTURED INTERNATIONAL EQUITY FLEX FUND INSTITUTIONAL SHARES | NFS LLC FEBO LARRY D ELLERMANN 1555 E ORANGEWOOD AVE PHOENIX AZ85020-5130 | 556,646.71 | 13.39 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,406,748.46 | 81.94 | % | |||||||
CLASS A SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 12,223,597.11 | 95.07 | % | ||||||
CLASS C SHARES | UBS FINANCIAL SERVICES INC. FBO UBS-FINSVC CDN FBO DR LAWRENCE K SPITZ P.O.BOX 3321, PO BOX 3321 WEEHAWKEN NJ07086-8154 | 20,820.38 | 10.99 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 11,019.92 | 5.82 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 40,254.38 | 21.25 | % | |||||||
FIRST CLEARING LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 14,221.34 | 7.51 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 11,506.29 | 6.07 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 15,665.77 | 8.27 | % | |||||||
STRUCTURED INTERNATIONAL EQUITY FUND CLASS A SHARES | NFS LLC FEBO FMT CO CUST R/O IRA FBO LYNN M DEVOS 57 HAPPY VALLEY CIR NEWNAN GA30263-4025 | 6,901,853.77 | 7.85 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 22,151,879.11 | 25.20 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 18,696,305.50 | 21.27 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 11,054,497.65 | 12.58 | % | |||||||
B-61
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 20,285,832.73 | 23.08 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 58,564.04 | 8.55 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ# 97RT3 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 104,803.34 | 15.30 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 37,401.26 | 5.46 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 146,181.51 | 21.34 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS PO BOX 9446 MINNEAPOLIS MN55440-9446 | 75,143.62 | 10.97 | % | |||||||
SERVICE SHARES | TRUSTMARK NATIONAL BANK TTEE FBO VARIOUS TRUST ACCOUNTS 248 E CAPITOL ST JACKSON MS39201-2503 | 3,030,264.05 | 84.86 | % | ||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TR CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — CORE INLT EQ FUND PO BOX 1713 BOSTON MA02205-1713 | 137,918,062.51 | 72.94 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 9,965,669.33 | 5.27 | % | |||||||
WELLS FARGO BANK NA FBO MEIJER INC EMPLOYEE BENEFIT VEBA PO BOX 1533 MINNEAPOLIS MN55480-1533 | 19,888,962.71 | 10.52 | % | |||||||
CLASS B SHARES | FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 46,114.75 | 5.16 | % | ||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 492,121.90 | 55.12 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 65,896.38 | 7.38 | % | |||||||
STRUCTURED LARGE CAP GROWTH FUND INSTITUTIONAL SHARES | STATE STREET BANK & TRUST CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — CORE LG CAP GRTH FD PO BOX 1713 BOSTON MA02205-1713 | 75,772,339.02 | 90.45 | % | ||||||
CLASS A SHARES | FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO INC F110C AS AGENT FOR CERTAIN EMPLOYEE BENEFIT PLANS 100 MAGELLAN WAY — KW1C COVINGTON KY41015-1999 | 1,995,784.92 | 5.36 | % | ||||||
B-62
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 11,195,348.32 | 30.05 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,607,157.60 | 12.37 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 9,961,884.17 | 26.74 | % | |||||||
CLASS B SHARES | NFS LLC FEBO WM FINANCIAL SERVICES INC R/O IRA FBO ENGIN OKTAY 6571 STARSHINE DR HUNTINGTON BEACH CA92647-2940 | 370,234.03 | 16.70 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 113,256.44 | 5.11 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC# 97P22 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 212,787.44 | 9.60 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 208,613.06 | 9.41 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 131,084.35 | 5.91 | % | |||||||
A G EDWARDS & SONS C/F JOSEPH C DAWSON C/F NICOLE RUTH DAWSON EDUCATIONAL SAVINGS ACCT 840 BRIDGE POINT CIRCLE MT PLEASANT SC29464-2849 | 116,219.58 | 5.24 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 234,447.83 | 10.57 | % | |||||||
CLASS C SHARES | NFS LLC FEBO FMTC TTEE HOWREY AND SIMON HSH PLAN FBO WILLIAM R O’BRIEN 2120 S ST NW WASHINGTON DC20008-4033 | 122,582.12 | 7.64 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 110,107.23 | 6.86 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS1 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 249,446.05 | 15.54 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 109,165.22 | 6.80 | % | |||||||
STIFEL NICOLAUS & CO INC MARY ANN A SPECHT IRA/RO 501 NORTH BROADWAY ST LOUIS MO63102-2131 | 181,013.24 | 11.28 | % | |||||||
B-63
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
A G EDWARDS & SONS INC C/F MARSHALL BERRYHILL DECD IRA FBO SANDRA BERRYHILL BENE ACCOUNT 583 WOODMORE CT GREENWOOD IN46142-7364 | 158,059.35 | 9.85 | % | |||||||
SERVICE SHARES | COHASMCO C/O FIRST FINANCIAL BANK, N.A. ATTN: ROBIN TAYLOR PO BOX 476 HAMILTON OH45012-0476 | 7,989.52 | 40.87 | % | ||||||
MOCE & CO ATTN TRUST OPERATIONS 1515 CHARLESTON AVE PO BOX 499 MATTOON IL61938-0499 | 8,116.35 | 41.52 | % | |||||||
HUBB & CO FBO RELIUS ACCOUNTS 665 LOCUST ST PO BOX 897 DES MOINES IA50306-0897 | 3,368.76 | 17.23 | % | |||||||
STRUCTURED LARGE CAP VALUE FUND CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 8,945,821.12 | 23.36 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,349,644.02 | 8.75 | % | |||||||
NATIONWIDE TRUST CO F S B C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH43218-2029 | 3,256,627.69 | 8.51 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 5,212,680.27 | 13.61 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 7,916,764.59 | 20.68 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 2,278,051.08 | 5.95 | % | |||||||
CLASS B SHARES | NFS LLC FEBO CHRISTOPHER KAILA PO BOX 681 ZEPHYR COVE NV89448-0681 | 108,480.36 | 8.57 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 100,825.05 | 7.97 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 119,416.16 | 9.44 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 111,943.03 | 8.85 | % | |||||||
B-64
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 223,469.79 | 17.66 | % | |||||||
A G EDWARDS & SONS INC FBO WALTER J CANTEEL & MARY T CANTEEL & WALTER T ONE NORTH JEFFERSON ST LOUIS MO 63103 | 75,405.49 | 5.96 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P.O BOX 9446 MINNEAPOLIS MN55440-9446 | 118,266.69 | 9.35 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 156,140.47 | 8.89 | % | ||||||
STONEHILL & TAYLOR GOLDMAN SACHS/ADP 401K PLAN 270 LAFAYETTE ST STE 1101 NEW YORK NY10012-3327 | 788,373.43 | 44.91 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 132,466.12 | 7.55 | % | |||||||
A G EDWARDS & SONS CUSTODIAN FOR SANDRA J. FOWLER ROTH IRA ACCOUNT 165 WALNUT CT LEXINGTON NC27292-9703 | 97,531.15 | 5.56 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — CORE LG CAP VALUE FD PO BOX 1713 BOSTON MA02205-1713 | 63,838,955.57 | 82.98 | % | ||||||
SERVICE SHARES | BROWN BROTHERS HARRIMAN AND COMPANY AS CUSTODIAN FOR 4949491 525 WASHINGTON BLVD JERSEY CITY NJ 07310 UNITED STATES | 37,855.00 | 5.90 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN SERVICE TEAM SEC 97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 145,324.53 | 22.64 | % | |||||||
PATTERSON & CO FBO COMERICA FOR VARIOUS RETIREMENT PLANS 1525 WEST WT HARRIS BLVD CHARLOTTE NC28288-0001 | 111,351.49 | 17.35 | % | |||||||
TRANSAMERICA LIFE INSURANCE COMPANY 1150 S. OLIVE T-4 LOS ANGELES CA90015-2209 | 109,098.69 | 17.00 | % | |||||||
HUBB & CO FBO RELIUS ACCOUNTS 665 LOCUST ST PO BOX 897 DES MOINES IA50306-0897 | 194,694.96 | 30.33 | % | |||||||
STRUCTURED SMALL CAP EQUITY FUND CLASS A SHARES | PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 2,511,753.94 | 14.11 | % | ||||||
B-65
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,284,154.14 | 18.45 | % | |||||||
PALATIN TECHNOLOGIES INC GOLDMAN SACHS/ADP 401K PLAN 4C CEDARBROOK DR CRANBURY NJ08512-3612 | 1,107,270.92 | 6.22 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,696,929.24 | 9.53 | % | |||||||
MERCER TRUST COMPANY CENVEO CORP 401K SAVINGS & RET PLAN FOR UNION EMPLOYEES ATTN DC PLAN AdministrationMSN-6-G 1 INVESTORS WAY NORWOOD MA02062-1599 | 906,192.86 | 5.09 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 2,116,560.78 | 11.89 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 1,071,907.32 | 6.02 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 124,513.92 | 6.48 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS9 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 193,998.55 | 10.09 | % | |||||||
INTEGNOLOGY CORP GOLDMAN SACHS/ADP 401K PLAN 16190 LOS GATOS BLVD STE 100 LOS GATOS CA95032-4525 | 728,537.75 | 37.90 | % | |||||||
A G EDWARDS & SONS C/F JAN M CARLEY ROTH IRA ACCOUNT 18 COBBLESTONE DRIVE SUMRALL MS39482-5050 | 111,134.37 | 5.78 | % | |||||||
SERVICE SHARES | NFS LLC FEBO JACOBSEN CONSTRUCTION DC 3131 W 2210 S SALT LAKE CTY UT84119-1267 | 500,787.76 | 22.68 | % | ||||||
TRUSTMARK NATIONAL BANK TTEE FBO VARIOUS TRUST ACCOUNTS 248 E CAPITOL ST JACKSON MS39201-2503 | 1,618,487.83 | 73.31 | % | |||||||
INSTITUTIONAL SHARES | FIDELITY INVESTMENTS INSTITUTIONAL OPERATIONS CO INC FIIOC AS AGENT FOR CERTAIN EMPLOYEE BENEFITS PLANS 100 MAGELLAN WAY — KW1C COVINGTON KY41015-1999 | 10,171,797.84 | 19.61 | % | ||||||
STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST ATTN JEN CONSIGL JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 3,118,708.23 | 6.01 | % | |||||||
B-66
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
NFS LLC FEBO FMTC TTEE VERIZON WIRELS RET PL VERIZON MODERATE BALANCED PT ATTN: TORREY NEWCOMB 82 DEVONSHIRE STREET, Z1M BOSTON MA02109-3605 | 3,372,487.97 | 6.50 | % | |||||||
MERCER TRUST COMPANY TTEE FBO THOMSON 401K SAVINGS PLAN ONE INVESTORS WAYN-7-E NORWOOD MA02062-1599 | 3,286,199.11 | 6.34 | % | |||||||
STATE STREET BANK & TR CO CUST FBO GOLDMAN SACHS BALANCED STGY OMNIBUS A/C — GROWTH & INC FUND PO BOX 1713 BOSTON MA02205-1713 | 14,897,936.95 | 28.73 | % | |||||||
SEI PRIVATE TRUST CO ONE FREEDOM VALLEY DR OAKS PA 19456 | 7,761,344.23 | 14.97 | % | |||||||
CLASS B SHARES | NFS LLC FEBO — NFS/FMTC IRA FBO STEPHEN S NOEL 362 FUTURITY DR CAMP HILL PA17011-8359 | 224,729.89 | 21.35 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 53,137.76 | 5.05 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 83,838.61 | 7.97 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 73,816.38 | 7.01 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 101,973.80 | 9.69 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 86,896.13 | 8.26 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 98,606.55 | 9.37 | % | |||||||
STRUCTUREDTAX-MANAGED EQUITY FUND CLASS A SHARES | NFS LLC FEBO LISA J CACCAMISE CRAIG CACCAMISE 271 QUAKER RD POMONA NY10970-2828 | 2,879,638.56 | 14.40 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 3,446,845.57 | 17.23 | % | |||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 2,023,445.26 | 10.12 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 2,696,532.22 | 13.48 | % | |||||||
IMS & CO FOR THE EXCLUSIVE BENEFIT OF VARIOUS IMS CUSTOMERS PO BOX 173887 DENVER CO80217-3887 | 3,004,354.94 | 15.02 | % | |||||||
B-67
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 2,746,990.11 | 13.74 | % | |||||||
CLASS B SHARES | NFS LLC FEBO ELINOR JOANN BUMBALOUGH TTEE JOANN BUMBALOUGH LIVING TRUST U/A7/8/91 PO BOX 206 WILLIAMSTON MI48895-0206 | 329,102.42 | 15.73 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 119,686.74 | 5.72 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 305,177.83 | 14.58 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 163,555.79 | 7.82 | % | |||||||
EDWARD JONES ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3003 | 230,720.24 | 11.02 | % | |||||||
CLASS C SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 481,583.54 | 17.63 | % | ||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 285,164.46 | 10.44 | % | |||||||
INSTITUTIONAL SHARES | NFS LLC FEBO DOROTHY KUBALA TTEE ROBERT KUBALA FAMILY TR U/A7/25/01 2134 COUNTY ROAD 453 EL CAMPO TX77437-6628 | 352,896.40 | 5.68 | % | ||||||
GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,365,961.56 | 21.99 | % | |||||||
SEI PRIVATE TRUST CO C/O AMERICAN NATIONAL ONE FREEDOM VALLEY DR OAKS PA 19456 | 967,489.77 | 15.57 | % | |||||||
NATIONAL CITY BANK TTEE COLTER CONSTANCE AGENCY TR MUTUAL FUNDS PO BOX 94984 CLEVELAND OH44101-4984 | 327,378.31 | 5.27 | % | |||||||
KEYBANC CAPITAL MARKETS INC (FBO) 4900 TIEDEMAN RD BROOKLYN OH44144-2338 | 335,134.20 | 5.39 | % | |||||||
WELLS FARGO BANK NA FBO GRAHAM MONICA L FAMILYTR-IMA PO BOX 1533 MINNEAPOLIS MN55480-1533 | 1,620,966.74 | 26.09 | % | |||||||
B-68
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
SERVICE SHARES | NFS LLC FEBO DAVID ALAN EDWARDS 2809 MILL CREEK CT RALEIGH NC27603-3931 | 37,946.07 | 100.00 | % | ||||||
STRUCTURED U.S. EQUITY FLEX FUND CLASS A SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 4,620,888.75 | 97.72 | % | ||||||
CLASS C SHARES | NFS LLC FEBO GRACE COSENTINO 6204 23RD AVE BROOKLYN NY11204-3303 | 4,139.18 | 13.33 | % | ||||||
A G EDWARDS & SONS CUST FBO JEFFREY A O’BRIEN IRA 121 CHASE RD MANHASSET NY11030-2537 | 2,467.04 | 7.94 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 4,670.16 | 15.04 | % | |||||||
FIRST CLEARING LLC NORMAN T STAUB IRA FCC AS CUSTODIAN 3009 INDIAN RIPPLE RD DAYTON OH45440-3644 | 2,765.75 | 8.91 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 4,674.85 | 15.06 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 8,369.41 | 26.95 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,630,451.80 | 98.91 | % | ||||||
STRUCTURED U.S. EQUITY FUND SERVICE SHARES | FULTON FINANCIAL ADV TTEE FBO PO BOX 3215 LANCASTER PA17604-3215 | 342,521.02 | 67.00 | % | ||||||
MITRA & CO EXP ATTN MUTUAL FUNDS 11270 W PARK PL SUITE 400 PPW 08 WM MILWAUKEE WI53224-3623 | 53,606.32 | 10.49 | % | |||||||
CLASS A SHARES | NFS LLC FEBO NFS/FMTC IRA FBO JADU G DAS 28 DUCK POND LN RAMSEY NJ07446-1643 | 1,185,081.24 | 5.01 | % | ||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,893,183.57 | 16.45 | % | |||||||
RUSSELL REID WASTE HAULING GOLDMAN SACHS/ADP 401K PLAN 200 SMITH ST PO BOX 130 KEASBEY NJ08832-0130 | 1,310,728.32 | 5.54 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 5,180,853.56 | 21.89 | % | |||||||
B-69
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 164,492.33 | 7.80 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEQ #97RS0 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 201,408.64 | 9.54 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 132,880.67 | 6.30 | % | |||||||
PAGE LITHO GOLDMAN SACHS/ADP 401K PLAN 6445 E VERNOR HWY DETROIT MI48207-3438 | 632,292.35 | 29.96 | % | |||||||
A G EDWARDS & SONS C/F JEFF A KRAL ROTH IRA ACCOUNT 7138 SADDLE CREEK CIRCLE SARASOTA FL34241-9548 | 126,534.05 | 6.00 | % | |||||||
INSTITUTIONAL SHARES | STATE STREET BANK & TRUST TTEE GS PROFIT SHARING MASTER TRUST CASH SWEEP SUPPORT GROUP JOSIAH QUINCY BUILDING 5N 200 NEWPORT AVE NORTH QUINCY MA02171-2102 | 3,871,135.89 | 17.06 | % | ||||||
NFS LLC FEBO LAURA J WATERS 7160 SIX GUN CT SAINT CLOUD FL34771-7917 | 1,235,012.26 | 5.44 | % | |||||||
FIRST TENNESSEE NATIONAL CORP SAVINGS PLAN & TRUST NATIONWIDE TRUST COMPANY 98 SAN JACINTO BLVD STE 1100 PO BOX 1412 AUSTIN TX78767-1412 | 1,417,266.21 | 6.25 | % | |||||||
SEI TRUST COMPANY C/O FIRST NATL BANK OF LONG ISLAND ATTN MUTUAL FUNDS ADMINISTRATOR ONE FREEDOM VALLEY DR OAKS PA 19456 | 9,918,115.71 | 43.71 | % | |||||||
CENCO C/O COMPASS BANK ATTN AMG 7TH FL PO BOX 10566 BIRMINGHAM AL35296-0566 | 1,718,059.56 | 7.57 | % | |||||||
CLASS B SHARES | NFS LLC FEBO NFS/FMTC R/O IRA FBO PEI KUNG CHANG 428 FURNACE DOCK RD CORTLANDT MNR NY10567-6606 | 496,548.35 | 13.35 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 195,485.01 | 5.25 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 350,899.68 | 9.43 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM 97PP8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 297,024.41 | 7.98 | % | |||||||
B-70
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
FIRST CLEARING, LLC WILLIAM PRIKRYL SEP IRA FCC AS CUSTODIAN 3421 BLUEGRASS DR MIDLOTHIAN TX76065-5444 | 337,870.59 | 9.08 | % | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 294,899.78 | 7.93 | % | |||||||
TENNESSEE MUNICIPAL FUND INSTITUTIONAL SHARES | SEI TRUST COMPANY C/O FIRST TENNESSEE BANK ATTN MUTUAL FUNDS ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 7,209,359.25 | 98.77 | % | ||||||
CLASS A SHARES | NFS LLC FEBO JEFF CARR ANNE CARR 1045 HIDEBOUND RD BURNS TN37029-5676 | 452,419.96 | 46.98 | % | ||||||
ROBERT S MARQUIS PERS REP ESTATE GERALD E STUART 900 S GAY ST STE 900 KNOXVILLE TN37902-1848 | 54,968.25 | 5.71 | % | |||||||
ELIZABETH T GRAVES 120 S GROVE PARK RD MEMPHIS TN38117-3104 | 71,775.72 | 7.45 | % | |||||||
CLASS C SHARES | THE GOLDMAN SACHS GROUP LP TENNESSEE MUNI SEED ACCOUNT ATTN IMD CONTROLLERS 701 MOUNT LUCAS RD PRINCETON NJ08540-1911 | 1,025.91 | 99.52 | % | ||||||
TOLLKEEPER FUNDSM CLASS A SHARES | NFS LLC FEBO NFS/FMTC IRA FBO JADU G DAS 28 DUCK POND LN RAMSEY NJ07446-1643 | 727,525.72 | 6.27 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 598,547.98 | 5.16 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 762,736.61 | 6.58 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 609,484.70 | 5.26 | % | |||||||
THE NORTHERN TRUST COMPANY FBO A G EDWARDS RETIREMENT AND PROFIT SHARING PLAN DTD03/01/1997 PO BOX 92956 CHICAGO IL60675-2994 | 1,194,702.17 | 10.30 | % | |||||||
A G EDWARDS & SONS CUST FBO BRENDA ANN ORMAN IRA 37 OLD MEADOW CT LIVONIA NY14487-9767 | 1,178,385.95 | 10.16 | % | |||||||
CLASS B SHARES | NFS LLC FEBO PEI K CHANG 428 FURNACE DOCK RD CORTLANDT MANOR NY10567-6606 | 1,083,232.56 | 11.19 | % | ||||||
CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 745,446.20 | 7.70 | % | |||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 669,154.31 | 6.91 | % | |||||||
B-71
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #9EH18 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,121,464.31 | 11.58 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 714,098.19 | 7.37 | % | |||||||
A G EDWARDS & SONS INC THELMA J CROSIER 1 N JEFFERSON AVE SAINT LOUIS MO63103-2287 | 572,690.78 | 5.91 | % | |||||||
AMERICAN ENTERPRISE INVESTMENT SVCS P O BOX 9446 MINNEAPOLIS MN55474-0001 | 535,724.29 | 5.53 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 713,703.98 | 12.34 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #9EH19 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 640,993.99 | 11.08 | % | |||||||
FIRST CLEARING, LLC SPECIAL CUSTODY ACCT FOR THE EXCLUSIVE BENEFIT OF CUSTOMER 10750 WHEAT FIRST DRIVE GLEN ALLEN VA23060-9245 | 412,408.70 | 7.13 | % | |||||||
YEE ENGINEERING & ASSOCIATES 401 (K) PLAN GOLDMAN SACHS / ADP 401(K) PLAN 1017 MAIN ST VOORHEES NJ08043-4602 | 602,656.26 | 10.42 | % | |||||||
A G EDWARDS & SONS CUST FBO LINDA A HENDERSHOT SIMPLE IRA 132 ELMWOOD DR PARSIPPANY NJ07054-3527 | 666,054.79 | 11.51 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 1,244,575.49 | 73.71 | % | ||||||
SEI TRUST CO C/F SECURITY NATIONAL ATTN MUTUAL FUNDS ONE FREEDOM VALLEY DRIVE OAKS PA 19456 | 133,463.75 | 7.90 | % | |||||||
WELLS FARGO BANK NA FBO RETIREMENT PLAN SVCS PO BOX 1533 MINNEAPOLIS MN55480-1533 | 281,116.05 | 16.65 | % | |||||||
SERVICE SHARES | MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC #97PR8 GOLDMAN SACHS FUNDS 4800 DEER LAKE DR EAST 3RD FL JACKSONVILLE FL32246-6484 | 17,166.71 | 83.13 | % | ||||||
AMERICAN UNITED LIFE INSURANCE CO FBO GROUP RETIREMENT ACCOUNT 1 AMERICAN SQ INDIANAPOLIS IN46282-0020 | 2,266.91 | 10.98 | % | |||||||
U.S. EQUITY DIVIDEND AND PREMIUM FUND CLASS A SHARES | NFS LLC FEBO NFS/FMTC IRA FBO FRANK A MCHUGH 6125 TENNESSEE AVE STE 1 RIVERBANK CA95367-2959 | 1,321,435.45 | 6.01 | % | ||||||
B-72
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 17,404,797.45 | 79.10 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 1,826,304.54 | 8.30 | % | |||||||
CLASS C SHARES | CITIGROUP GLOBAL MARKETS INC 333 WEST 34TH ST — 3RD FLOOR NEW YORK NY10001-2402 | 134,357.38 | 12.42 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 111,608.24 | 10.31 | % | |||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 403,850.09 | 37.32 | % | |||||||
FIRST CLEARING LLC SANDRA S FRANKLIN IRA FCC AS CUSTODIAN 4712 LEVADA TER ROCKVILLE MD20853-2260 | 132,800.33 | 12.27 | % | |||||||
MORGAN STANLEY DW ATTN MUTUAL FUNDS OPERATIONS HARBORSIDE FINANCIAL CENTER PLAZA TWO 2ND FL JERSEY CITY NJ 07311 | 69,082.32 | 6.38 | % | |||||||
INSTITUTIONAL SHARES | GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 3,268,579.89 | 46.80 | % | ||||||
STATE STREET BANK & TR CO CUST GS INCOME STRATEGIES PORTFOLIO US EQUITY DIVIDEND AND PREMIUM FUND PO BOX 1173 BOSTON MA02205-1173 | 365,602.94 | 5.23 | % | |||||||
SAXON & CO PO BOX7780-1888 PHILADELPHIA PA19182-0001 | 2,212,641.03 | 31.68 | % | |||||||
CHARLES SCHWAB & CO INC SPEC CUSTODY ACCT FBO CUSTOMERS ATTN MUTUAL FUNDS 9601 E PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 432,762.12 | 6.20 | % | |||||||
U.S. MORTGAGES FUND CLASS A SHARES | CITIGROUP GLOBAL MARKETS INC FBO MS WENDY A HAIG 159460954 333 W 34TH ST NEW YORK NY10001-2402 | 115,103.38 | 16.37 | % | ||||||
PERSHING LLC PO BOX 2052 JERSEY CITY NJ07303-2052 | 246,042.83 | 34.99 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 325,611.20 | 46.31 | % | |||||||
INSTITUTIONAL SHARES | SOMPO JAPAN INSURANCE CO OF AMERICA ATTN TAMMY VAN DUNK TWO WORLD FINANCIAL CTR 43RD FL 225 LIBERTY ST NEW YORK NY10281-1008 | 3,323,643.06 | 23.15 | % | ||||||
B-73
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 10,543,974.87 | 73.44 | % | |||||||
SEPARATE ACCOUNTS INSTITUTIONAL | GOLDMAN SACHS & CO C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 23,358,977.17 | 96.83 | % | ||||||
ULTRA-SHORT DURATION GOVERNMENT FUND INSTITUTIONAL SHARES | WATERTOWN SAVINGS BANK 60 MAIN ST WATERTOWN MA02472-4422 | 7,378,063.38 | 20.96 | % | ||||||
NFS LLC FEBO FMT CO CUST IRA FBO CATHERINE FERGUSON 604 SMYTHE ST KOSCIUSKO MS39090-4224 | 4,306,792.52 | 12.24 | % | |||||||
GOLDMAN, SACHS & CO. C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK NY10004-2434 | 7,681,654.44 | 21.83 | % | |||||||
REGENTS OF THE UNIVERSITY OF MN OFFICE OF ASSET MANAGEMENT ATTN CASH MANAGEMENT 2221 UNIVERSITY AVE SE STE 145 MINNEAPOLIS MN55414-3165 | 2,050,351.00 | 5.83 | % | |||||||
STATE TREASURER MTP ATTN: GAYLE DUCKER 941 O ST STE 500 LINCOLN NE68508-3625 | 1,989,664.22 | 5.65 | % | |||||||
FTC & CO., ATTN: DATALYNX #555 PO BOX 173736 DENVER CO80217-3736 | 6,004,056.36 | 17.06 | % | |||||||
CHARLES SCHWAB & CO INC SPEC. CUSTODY ACCT FBO CUSTOMERS ATTN: MUTUAL FUNDS 9601 E. PANORAMA CIRCLE MAILSTOPDEN2-02-052 ENGLEWOOD CO80112-3441 | 1,970,485.87 | 5.60 | % | |||||||
SERVICE SHARES | NFS LLC FEBO NFS/FMTC SEP IRA FBO JAMES A MACY 8057 KILLARNEY AIRE RD ROSCOE IL61073-7523 | 230,815.33 | 12.21 | % | ||||||
CHATTANOOGA NEIGHBORHOOD ENTERPRISE INC 1301 MARKET ST STE 100 CHATTANOOGA TN37402-4455 | 111,569.28 | 5.90 | % | |||||||
PILLOWTEX CORP FBO CURE COST ACCOUNT ATTN JOHN WAHOSKI PO BOX 107 KANNAPOLIS NC28082-0107 | 1,460,224.33 | 77.27 | % | |||||||
CLASS A SHARES | GOLDMAN, SACHS & CO. FBO ACCT# 040030223 C/O MUTUAL FUND OPS 85 BROAD ST NEW YORK, NY 10004 | 1,749,848.08 | 16.75 | % | ||||||
MERRILL LYNCH PIERCE FENNER & SMITH FOR THE SOLE BENEFIT OF ITS CUST ATTN: SERVICE TEAM SEC# 97PP6 GOLDMAN SACHS FUNDS 4800 DEER LAKE DRIVE EAST 3RD FL JACKSONVILLE FL32246-6484 | 1,193,051.06 | 11.42 | % | |||||||
NATIONWIDE TRUST CO F S B C/O IPO PORTFOLIO ACCOUNTING PO BOX 182029 COLUMBUS OH43218-2029 | 859,772.36 | 8.23 | % | |||||||
B-74
Number of | Percentage | |||||||||
Goldman Sachs Fund; Class of Shares | Shareholder Name and Address* | Shares | of Fund | |||||||
EDWARD JONES & CO ATTN MUTUAL FUND SHAREHOLDER ACCOUNTING 201 PROGRESS PKWY MARYLAND HEIGHTS MO63043-3009 | 1,269,369.90 | 12.15 | % | |||||||
CHARLES SCHWAB & CO INC SPECIAL CUSTODY ACCT FOR BENEFIT OF CUSTOMERS ATTN: MUTUAL FUNDS 101 MONTGOMERY STREET SAN FRANCISCO CA94104-4151 | 2,299,763.73 | 22.01 | % |
* The entity set forth in this column is the shareholder of record and may be deemed to be beneficial owner of certain of the shares listed for certain purposes under the securities laws, although the entity generally does not have an economic interest in these shares and would ordinarily disclaim any beneficial ownership therein.
B-75
EXHIBIT C
NOMINATING COMMITTEE CHARTER
Goldman Sachs Funds Governance and Nominating Committee Charter
Organization and Purpose
The Trustees of Goldman Sachs Trust and Goldman Sachs Variable Insurance Trust (together the “Funds”) have established a Governance and Nominating Committee (the “Committee”), comprising all of the independent Trustees. “Independent Trustees” are those Trustees who are independent of the management of Goldman, Sachs & Co. and who are not “interested persons” of the Funds or any investment adviser or principal underwriter of the Funds within the meaning of Section 2(a)(19) of the Investment Company Act of 1940 (the “1940 Act”). The Committee has been established for the following purposes: (1) assisting the Board of Trustees in matters involving mutual fund governance and industry best practices; (2) with respect to the selection and nomination of independent Trustees, satisfying certain regulatory requirements adopted by the Securities and Exchange Commission (the “SEC”); and (3) advising the Board of Trustees from time to time on ways to improve its effectiveness.
Statement of Board Policy
The mission of the Board of Trustees is to represent and protect the interests of the Funds and their shareholders. In doing so, the Board has the legal responsibility for overseeing the affairs of the Funds. It is the policy of the Board of Trustees that in fulfilling its mission and meeting its responsibilities, the Trustees will seek high standards of integrity, commitment and independence of thought and judgment in a manner that is consistent with best practices of mutual fund governance.
Summary of Committee Responsibilities
The Committee will have the following responsibilities:
• | Monitor the actions of the Board of Trustees in light of the Statement of Policy set forth in this Charter. | |
• | Monitor the governance policies set forth in the Trustee Charter adopted by the Board of Trustees, and recommend such changes to those policies as the Committee deems appropriate from time to time. | |
• | Monitor the Funds’ standards of Trustee independence. | |
• | Oversee and review the Board and committee evaluations performed from time to time in accordance with the Trustee Charter and, based on its review, recommend such actions as the Committee deems appropriate. | |
• | Keep informed of regulatory changes and industry practices relating to mutual fund governance and recommend such changes as the Committee deems appropriate. | |
• | Oversee the continuing education of incumbent and new independent Trustees. | |
• | Review periodically the investments made by the Trustees in the Funds pursuant to the policies set forth in the Trustee Charter. | |
• | Select and nominate candidates for election or appointment as non-interested members of the Board of Trustees as discussed below. |
In carrying out its responsibilities under this Charter, the policies and procedures of the Committee should remain flexible in order to best react to changing conditions and to provide assurance to the full Board of Trustees and shareholders that the Funds’ governance practices are in accordance with applicable requirements and are of the highest quality.
C-1
Selection and Nomination of Independent Trustees
The Committee will be responsible for the selection and nomination of the candidates for election or appointment as non-interested members of the Board of Trustees of the Trusts. In connection with the selection and nomination of candidates to the Board of Trustees, the Committee will evaluate the qualifications of candidates for Board membership and their independence from the Trusts’ investment advisers and other principal service providers. Persons selected must be independent in terms of both the letter and the spirit of the 1940 Act. The Committee will consider the effect of any relationships beyond those delineated in the 1940 Act that might impair independence (for example, business, financial or family relationships with the investment advisers or other service providers). Without limiting the foregoing, the Committee will consider, among other criteria, a candidate’s:
a) | experience in business, financial or investment matters or in other fields of endeavor; | |
b)�� | reputation; | |
c) | ability to attend scheduled Board and Committee meetings; | |
d) | general availability to attend to Board business on short notice; | |
e) | actual or potential business, family or other conflicts bearing on either the candidate’s independence or the business of the Trusts; |
f) | length of potential service; |
g) | commitment to the representation of the interests of the Funds and their shareholders; | |
h) | commitment to maintaining and improving Trustee skills and education; and |
i) | experience in corporate governance and best business practices. |
The Committee will also consider the diversity of the Board’s composition as part of the selection and nomination process.
In considering the selection and nomination of independent Trustee candidates, it is expected that the Committee will consult with the interested Trustees of the Trusts and such other persons as the Committee deems appropriate.
Additional Matters
• | The Committee will meet at such times as it deems appropriate. The Committee will set its agenda and the places of its meetings. The Committee may meet alone and outside the presence of management personnel. | |
• | The Committee will submit the minutes of all meetings of the Committee to, or discuss the matters discussed at each Committee meeting with, the full Board of Trustees. | |
• | The Committee is authorized to investigate any matter brought to its attention within the scope of its duties, and is authorized to meet with the compliance personnel of management as the Committee deems appropriate in connection with the performance of its responsibilities. | |
• | The Committee is authorized to engage independent counsel and other advisers as it deems necessary to carry out its duties. | |
• | The Funds will provide for appropriate funding, as determined by the Committee, for payment of compensation to any advisers employed by the Committee as described above. | |
• | The Committee will periodically review the provisions of this Governance and Nominating Committee Charter. |
Adopted: Jan. 29, 2003
Amended: August 10, 2006
C-2
![]() | P.O. BOX 9112 FARMINGDALE, NY 11735 |
THREE EASY WAYS TO VOTE
To vote by Telephone | ||
1) | Read the Proxy Statement and have the Voting Instruction Card at hand. | |
2) | Call1-888-221-0697. | |
3) | Follow the recorded instructions. |
To vote by Internet | ||
1) | Read the Proxy Statement and have the Voting Instruction Card at hand. | |
2) | Go towww.proxyweb.com | |
3) | Follow the on-line instructions. |
To vote by Mail | ||
1) | Read the Proxy Statement. | |
2) | Check the appropriate boxes on the reverse side. | |
3) | Sign and date the Voting Instruction Card. | |
4) | Return the card in the envelope provided. |
IF YOU VOTE BY TELEPHONE OR INTERNET,DO NOT MAIL YOUR CARD.
GOLDMAN SACHS TRUST
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF TRUSTEES OF THE TRUST
PROXY FOR THE MEETING OF SHAREHOLDERS
TO BE HELD AUGUST 3, 2007
TO BE HELD AUGUST 3, 2007
FUND NAME PRINTS HERE
INSURANCE COMPANY NAME PRINTS HERE
INSURANCE COMPANY NAME PRINTS HERE
This Voting Instruction Card is solicited by the above-referenced insurance company (the “Company”) for its contract owners who hold a voting interest in the Separate Account of the Company that invests in the above named Fund of Goldman Sachs Trust (the “Trust”) and who are entitled to instruct the Company on how to vote shares held by the Separate Account.
The undersigned contract owner instructs the Company to vote at the Special Meeting of Shareholders of the Trust scheduled for August 3, 2007 at 2 p.m., and at any adjournments or postponements thereof, all share of the Fund attributable to his or her contract or interest therein as directed on the reverse side of this Card.
If you sign below but do not mark instructions on the reverse, the Company will vote all shares of the Trust attributable to your account value FOR the election of all Trustees. If you fail to return this Voting Instruction Card, the Company will vote all shares attributable to your account value in proportion to all voting instructions for the Fund actually received from contract owners in the Separate Account.
ê | PLEASE SIGN, DATE AND RETURN PROMPTLY | |||
Receipt of Notice of Special Meeting and Proxy Statements is hereby acknowledged. |
DATED: , 2007
Signature(s) | (Sign in the Box) |
Note: Please sign exactly as your name appears on this card. All joint owners should sign. When signing as executor, administrator, attorney, trustee or guardian or as custodian for a minor, please give full title as such. If a corporation, please sign in full corporate name and indicate the signer’s office. If a partnership, sign in the partnership name.
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Please fill in box(es) as shown using black or blue ink or number 2 pencil.x
PLEASE DO NOT USE FINE POINT PENS.
PLEASE DO NOT USE FINE POINT PENS.
YOUR TRUSTEES RECOMMEND THAT YOU VOTEFOR ALL ITEMS.
ê | ê |
FOR all | WITHHOLD | |||||||||||||
FOR SHAREHOLDERS OF ALL FUNDS: | Nominees | authority to | ||||||||||||
listed (except | vote for all | |||||||||||||
Item 1. | To Elect Trustees | as marked to | nominees | |||||||||||
the contrary | ||||||||||||||
Nominees: | (01) Ashok N. Bakhru | (03) Diana M. Daniels | (05) Jessica Palmer | (07) Richard P. Strubel | at left) | |||||||||
(02) John P. Coblentz, Jr. | (04) Patrick T. Harker | (06) Alan A. Shuch | (08) Kaysie P. Uniacke | |||||||||||
o | o | |||||||||||||
INSTRUCTION: TO WITHHOLD AUTHORITY TO VOTE FOR ANY INDIVIDUAL NOMINEE, WRITE THE NOMINEE’S NAME IN THE SPACE PROVIDED ABOVE. | ||||||||||||||
GS REAL ESTATE SECURITIES FUND, GS INTERNATIONAL REAL ESTATE SECURITIES FUND, GS TOLLKEEPER FUND AND GS CONCENTRATED INTERNATIONAL EQUITY FUND ONLY: | FOR | AGAINST | ABSTAIN | |||||||||||
Item 2. | To approve a change in the sub-classification under the Investment Company Act of 1940 from a diversified to a non-diversified company and elimination of a related investment restriction. | o | o | o | ||||||||||
GS CALIFORNIA AMT-FREE MUNICIPAL FUND AND GS NEW YORK AMT-FREE MUNICIPAL FUND: | ||||||||||||||
Item 3. | To approve the removal of the Secondary Investment Objective. | o | o | o | ||||||||||
FOR SHAREHOLDERS OF ALL FUNDS: | ||||||||||||||
Item 4. | In their discretion, the proxies are authorized to vote upon such other business as may properly come before the Special Meeting. |
PLEASE SIGN AND DATE ON THE REVERSE SIDE.
ê | ê |
![]() | P.O. BOX 9112 FARMINGDALE, NY 11735 |
THREE EASY WAYS TO VOTE
To vote by Telephone | ||
1) | Read the Proxy Statement and have the Proxy card at hand. | |
2) | Call1-888-221-0697. | |
3) | Follow the recorded instructions. |
To vote by Internet | ||
1) | Read the Proxy Statement and have the Proxy card at hand. | |
2) | Go towww.proxyweb.com | |
3) | Follow the on-line instructions. |
To vote by Mail | ||
1) | Read the Proxy Statement. | |
2) | Check the appropriate boxes on the reverse side. | |
3) | Sign and date the Proxy card. | |
4) | Return the Proxy card in the envelope provided. |
IF YOU VOTE BY TELEPHONE OR INTERNET,DO NOT MAIL YOUR CARD.
GOLDMAN SACHS TRUST
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF TRUSTEES OF THE TRUST
PROXY FOR THE MEETING OF SHAREHOLDERS
TO BE HELD AUGUST 3, 2007
TO BE HELD AUGUST 3, 2007
FUND NAME PRINTS HERE
The undersigned hereby appoints James McNamara, John Perlowski, Peter Bonanno, Mark Robertson and Patricia Meyer and each of them separately, proxies, with power of substitution, and hereby authorizes each of them to represent, and to vote, as designated on the reverse side, at the Meeting of Shareholders of the above-referenced Fund, on Friday, August 3, 2007 at2p.m., New York time, and at any adjournments thereof, all of the shares of the Fund that the undersigned would be entitled to vote if personally present.
THIS PROXY WHEN PROPERLY EXECUTED WILL BE VOTED IN THE MANNER DIRECTED HEREIN BY THE UNDERSIGNED SHAREHOLDER. IF NO DIRECTION IS MADE, THIS PROXY WILL BE VOTEDFOR ALL PROPOSALS. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER MATTERS AS MAY PROPERLY COME BEFORE THE MEETING, INCLUDING ON ADJOURNMENTS OF THE MEETING. THE TRUSTEES RECOMMEND A VOTE FOR THE PROPOSALS ON THE REVERSE SIDE.
ê | THIS PROXY CARD IS VALID ONLY | |||
WHEN SIGNED AND DATED |
DATED: , 2007
Signature(s) | (Sign in the Box) |
NOTE: Please sign exactly as your name appears on this card. All joint owners should sign. When signing as executor, administrator, attorney, trustee or guardian or as custodian for a minor, please give full title as such. If a corporation, please sign in full corporate name and indicate the signer’s office. If a partnership, sign in the partnership name.
ê | ê |
Please fill in box(es) as shown using black or blue ink or number 2 pencil.x
PLEASE DO NOT USE FINE POINT PENS.
PLEASE DO NOT USE FINE POINT PENS.
YOUR TRUSTEES RECOMMEND THAT YOU VOTEFOR ALL ITEMS.
ê | ê |
FOR SHAREHOLDERS OF ALL FUNDS: | ||||||||||||||
FOR all | WITHHOLD | |||||||||||||
Item 1. | To Elect Trustees | Nominees | authority to | |||||||||||
listed (except | vote for ail | |||||||||||||
Nominees: | (01) Ashok N. Bakhru | (03) Diana M. Daniels | (05) Jessica Palmer | (07) Richard P. Strubel | as marked to | nominees | ||||||||
(02) John P. Coblentz, Jr. | (04) Patrick T. Harker | (06) Alan A. Shuch | (08) Kaysie P. Uniacke | the contrary | ||||||||||
at left) | ||||||||||||||
o | o | |||||||||||||
GS REAL ESTATE SECURITIES FUND, GS INTERNATIONAL REAL ESTATE SECURITIES FUND, GS TOLLKEEPER FUND AND GS CONCENTRATED INTERNATIONAL EQUITY FUND ONLY: | FOR | AGAINST | ABSTAIN | |||||||||||
Item 2. | To approve a change in the sub-classification under the Investment Company Act of 1940 from a diversified to a non-diversified company and elimination of a related investment restriction. | o | o | o | ||||||||||
GS CALIFORNIA AMT-FREE MUNICIPAL FUND AND GS NEW YORK AMT-FREE MUNICIPAL FUND: | ||||||||||||||
Item 3. | To approve the removal of the Secondary Investment Objective. | o | o | o | ||||||||||
FOR SHAREHOLDERS OF ALL FUNDS: | ||||||||||||||
Item 4. | In their discretion, the proxies are authorized to vote upon such other business as may properly come before the Special Meeting. |
PLEASE SIGN AND DATE ON THE REVERSE SIDE.
ê | ê |
![]() | ||
P.O. BOX 9112 FARMINGDALE, NY 11735 |
![(EZVOTE LOGO)](https://capedge.com/proxy/DEF 14A/0000950123-07-008213/y34926y3492604.gif)
THE TOP HALF OF THIS FORM IS YOUR EZVOTE CONSOLIDATED PROXY CARD. IT REFLECTS ALL OF YOUR ACCOUNTS REGISTERED TO THE SAME SOCIAL SECURITY OR TAX I.D. NUMBER AT THIS ADDRESS. BY VOTING AND SIGNING THE CONSOLIDATED PROXY CARD, YOU ARE VOTING ALL OF THESE ACCOUNTS IN THE SAME MANNER AS INDICATED ON THE REVERSE SIDE OF THE FORM.
GOLDMAN SACHS TRUST | ||
PROXY FOR THE MEETING OF SHAREHOLDERS | ||
THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF TRUSTEES OF THE TRUST. | TO BE HELD AUGUST 3, 2007 |
The undersigned hereby appoints James McNamara, John Perlowski, Peter Bonanno, Mark Robertson and Patricia Meyer and each of them separately, proxies, with power of substitution, and hereby authorizes each of them to represent, and to vote, as designated on the reverse side, at the Meeting of Shareholders of the above-referenced Fund, on Friday, August 3, 2007 at 2 p.m., New York time, and at any adjournments thereof, all of the shares of the Fund that the undersigned would be entitled to vote if personally present.
THIS PROXY WHEN PROPERLY EXECUTED WILL BE VOTED IN THE MANNER DIRECTED HEREIN BY THE UNDERSIGNED SHAREHOLDER. IF NO DIRECTION IS MADE, THIS PROXY WILL BE VOTEDFOR ALL PROPOSALS. IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO VOTE UPON SUCH OTHER MATTERS AS MAY PROPERLY COME BEFORE THE MEETING. THE TRUSTEES RECOMMEND A VOTE FOR THE PROPOSALS ON THE REVERSE SIDE.
ê | THIS PROXY CARD IS VALID ONLY | |||
WHEN SIGNED AND DATED |
DATE: , 2007
Signature(s) | (Sign in the Box) |
NOTE: Please sign exactly as your name appears on this card. All joint owners should sign. When signing as executor, administrator, attorney, trustee or guardian or as custodian for a minor, please give full title as such. If a corporation, please sign in full corporate name and indicate the signer’s office. If a partnership, sign in the partnership name.
ê | ê |
6 IF VOTING THE CONSOLIDATED PROXY CARD DO NOT SIGN, DATE OR RETURN THE INDIVIDUAL BALLOTS 6
THREE EASY WAYS TO VOTE
To vote by Telephone | ||||
1) | Read the Proxy Statement and have the Consolidated Proxy card at hand. | |||
2) | Call1-888-221-0697. | |||
3) | Follow the recorded instructions. | |||
To vote by Internet | ||||
1) | Read the Proxy Statement and have the Consolidated Proxy card at hand. | |||
2) | Go towww.proxyweb.com | |||
3) | Follow the on-line instructions. | |||
To vote by Mail | ||||
1) | Read the Proxy Statement. | |||
2) | Check the appropriate boxes on the reverse side. | |||
3) | Sign and date the Proxy card. | |||
4) | Return the Proxy card in the envelope provided. | |||
IF YOU VOTE BY TELEPHONE OR INTERNET,DO NOT MAIL YOUR CARD.
INDIVIDUAL BALLOTS
On the reverse side of this form (and on accompanying pages, if necessary) you will find individual ballots, one for each of your accounts. If you would wish to vote each of these accounts separately, sign in the signature box below, mark each individual ballot to indicate your vote, detach the form at the perforation above and return the individual ballots portion only.
NOTE: IF YOU ELECT TO VOTE EACH ACCOUNT SEPARATELY, DO NOT RETURN THE CONSOLIDATED VOTING INSTRUCTIONS FORM ABOVE.
THIS PROXY CARD IS VALID ONLY
WHEN SIGNED AND DATED
WHEN SIGNED AND DATED
DATE: , 2007
Signature(s) | (Sign in the Box) |
NOTE: Please sign exactly as your name appears on this card. All joint owners should sign. When signing as executor, administrator, attorney, trustee or guardian or as custodian for a minor, please give full title as such. If a corporation, please sign in full corporate name and indicate the signer’s office. If a partnership, sign in the partnership name.
Please fill in box(es) as shown using black or blue ink or number 2 pencil.x
PLEASE DO NOT USE FINE POINT PENS.
PLEASE DO NOT USE FINE POINT PENS.
![(EZVOTE LOGO)](https://capedge.com/proxy/DEF 14A/0000950123-07-008213/y34926y3492604.gif)
YOUR TRUSTEES RECOMMEND THAT YOU VOTE FOR ALL ITEMS.
ê | ê |
FORall | WITHHOLD | |||||||||||||
FOR SHAREHOLDERS OF ALL FUNDS: | Nominees | authority to | ||||||||||||
listed (except | vote for all | |||||||||||||
as marked to | nominees | |||||||||||||
the contrary | ||||||||||||||
at left) | ||||||||||||||
Item 1. | To Elect Trustees | |||||||||||||
Nominees: | (01) Ashok N. Bakhru | (03) Diana M. Daniels | (05) Jessica Palmer | (07) Richard P. Strubel | ||||||||||
(02) John P. Coblentz, Jr. | (04) Patrick T. Harker | (06) Alan A. Shuch | (08) Kaysie P. Uniacke | |||||||||||
o | o | |||||||||||||
INSTRUCTION: TO WITHHOLD AUTHORITY TO VOTE FOR ANY INDIVIDUAL NOMINEE, WRITE THE NOMINEE’S NAME IN THE SPACE PROVIDED ABOVE. | ||||||||||||||
GS REAL ESTATE SECURITIES FUND, GS INTERNATIONAL REAL ESTATE SECURITIES FUND, GS TOLLKEEPER FUND AND GS CONCENTRATED INTERNATIONAL EQUITY FUND ONLY: | FOR | AGAINST | ABSTAIN | |||||||||||
Item 2. | To approve a change in the sub-classification under the Investment Company Act of 1940 from a diversified to a non-diversified company and elimination of a related investment restriction. | o | o | o | ||||||||||
GS CALIFORNIA AMT-FREE MUNICIPAL FUND AND GS NEW YORK AMT-FREE MUNICIPAL FUND: | ||||||||||||||
Item 3. | To approve the removal of the Secondary Investment Objective. | o | o | o | ||||||||||
FOR SHAREHOLDERS OF ALL FUNDS: | ||||||||||||||
Item 4. | In their discretion, the proxies are authorized to vote upon such other business as may properly come before the Special Meeting. |
PLEASE SIGN AND DATE ON THE REVERSE SIDE.
ê | ê |
6 IF VOTING THE CONSOLIDATED PROXY CARD DO NOT SIGN, DATE OR RETURN THE INDIVIDUAL BALLOTS 6
INDIVIDUAL BALLOTS
NOTE: IF YOU HAVE USED THE CONSOLIDATED BALLOT ABOVE, DO NOT VOTE THE INDIVIDUAL BALLOTS BELOW.
NOTE: IF YOU HAVE USED THE CONSOLIDATED BALLOT ABOVE, DO NOT VOTE THE INDIVIDUAL BALLOTS BELOW.
JOHN Q. PUBLIC
123 MAIN STREET
ANYTOWN, MA 02030
123 MAIN STREET
ANYTOWN, MA 02030
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FOR ALL | WITHHOLD | |||||||||
1. | Election of Trustees | EXCEPT* | ALL | |||||||
(See Nominee list on consolidated ballot.) | o | o | ||||||||
*EXCEPT | ||||||||||
FOR | AGAINST | ABSTAIN | ||||||||
2. | Change to Non-Diversified* | o | o | o | ||||||
3. | Remove secondary investment objective* | o | o | o | ||||||
4. | Other business* |
*Please read Consolidated Ballot above for full text of proposals.
JOHN Q. PUBLIC
123 MAIN STREET
ANYTOWN, MA 02030
123 MAIN STREET
ANYTOWN, MA 02030
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FOR ALL | WITHHOLD | |||||||||
1. | Election of Trustees | EXCEPT* | ALL | |||||||
(See Nominee list on consolidated ballot.) | o | o | ||||||||
*EXCEPT | ||||||||||
FOR | AGAINST | ABSTAIN | ||||||||
2. | Change to Non-Diversified* | o | o | o | ||||||
3. | Remove secondary investment objective* | o | o | o | ||||||
4. | Other business* |
*Please read Consolidated Ballot above for full text of proposals.
JOHN Q. PUBLIC
123 MAIN STREET
ANYTOWN, MA 02030
123 MAIN STREET
ANYTOWN, MA 02030
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FUND NAME PRINTS HERE
FOR ALL | WITHHOLD | |||||||||
1. | Election of Trustees | EXCEPT* | ALL | |||||||
(See Nominee list on consolidated ballot.) | o | o | ||||||||
*EXCEPT | ||||||||||
FOR | AGAINST | ABSTAIN | ||||||||
2. | Change to Non-Diversified* | o | o | o | ||||||
3. | Remove secondary investment objective* | o | o | o | ||||||
4. | Other business* |
*Please read Consolidated Ballot above for full text of proposals.
JOHN Q. PUBLIC
123 MAIN STREET
ANYTOWN, MA 02030
123 MAIN STREET
ANYTOWN, MA 02030