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SECURITIES AND EXCHANGE COMMISSION
________________
FORM 8-K
CURRENT REPORT
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
August 6, 2002
THE GOLDMAN SACHS GROUP, INC.
| Delaware | No. 001-14965 | No. 13-4019460 | ||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
| 85 Broad Street | ||
| New York, New York | 10004 | |
| (Address of Principal Executive Offices) | (Zip Code) |
| Registrant’s telephone number, including area code: | (212) 902-1000 | |
N/A
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The information in this Current Report on Form 8-K, including the exhibits, is furnished pursuant to Item 9 and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities under that Section. Furthermore, the information in this Current Report on Form 8-K, including the exhibits, shall not be deemed to be incorporated by reference into the filings of The Goldman Sachs Group, Inc. (the “Company”) under the Securities Act of 1933.
Item 7. Financial Statements,Pro FormaFinancial Information and Exhibits
The following exhibits are furnished as part of this report:
| Exhibit 99.1 | Statement, dated August 6, 2002, of the principal executive officer of the Company regarding facts and circumstances relating to the Company’s filings under the Securities Exchange Act of 1934. | |
| Exhibit 99.2 | Statement, dated August 6, 2002, of the principal financial officer of the Company regarding facts and circumstances relating to the Company’s filings under the Securities Exchange Act of 1934. |
Item 9. Regulation FD Disclosure.
On August 6, 2002, the principal executive officer and principal financial officer of the Company each submitted to the Securities and Exchange Commission a written statement regarding facts and circumstances relating to the Company’s filings under the Securities Exchange Act of 1934 pursuant to Securities and Exchange Commission Order No. 4-460. The Company is furnishing under Item 9 of this Current Report on Form 8-K copies of such statements as Exhibits 99.1 and 99.2 hereto.
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| THE GOLDMAN SACHS GROUP, INC. (Registrant) | ||||||
| Date: August 6, 2002 | By: | /s/ Gregory K. Palm | ||||
| Name: Gregory K. Palm | ||||||
| Title: Executive Vice President and General Counsel | ||||||
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EXHIBIT INDEX
| Exhibit 99.1 | Statement, dated August 6, 2002, of the principal executive officer of the Company regarding facts and circumstances relating to the Company’s filings under the Securities Exchange Act of 1934. | |
| Exhibit 99.2 | Statement, dated August 6, 2002, of the principal financial officer of the Company regarding facts and circumstances relating to the Company’s filings under the Securities Exchange Act of 1934. |