 |
Company specific regulatory disclosures
| Goldman Sachs is acting as a manager or co-manager of a pending underwriting. |
| Goldman Sachs beneficially owned 1% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the month end preceding this report. |
| Goldman Sachs beneficially owned 1% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the second most recent month end. |
| Goldman Sachs beneficially owned 5% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the month end preceding this report. |
| Goldman Sachs beneficially owned 5% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the second most recent month end. |
| Due to ownership, board representation and/or other relationships, Goldman Sachs may be deemed to be in a control relationship with the issuer. |
| Goldman Sachs has a principal investment. |
| Goldman Sachs has received compensation for investment banking services in the past 12 months. |
| Goldman Sachs expects to receive or intends to seek compensation for investment banking services in the next 3 months. |
| Goldman Sachs has received compensation for non-investment banking services during the past 12 months. |
| Goldman Sachs had an investment banking services client relationship during the past 12 months. |
| Goldman Sachs had a non-investment banking securities-related services client relationship during the past 12 months. |
| Goldman Sachs had a non-securities services client relationship during the past 12 months. |
| Goldman Sachs has managed or co-managed a public or Rule 144A offering in the past 12 months. |
| A director and/or employee of Goldman Sachs is a director. |
| A director of the covered company is a director of Goldman Sachs. |
| Goldman Sachs makes a market in the securities or derivatives thereof. |
| Goldman Sachs is a specialist in the relevant securities and will at any given time have an inventory position, "long" or "short," and may be on the opposite side of orders executed on the relevant exchange. |
| Goldman Sachs International acts as corporate broker to. |
| Goldman Sachs holds a position greater than U.S. $15 million (or equivalent) in the debt or debt instruments of. |
| Goldman Sachs (Asia) L.L.C., Seoul Branch is a liquidity provider for Equity Linked Warrants which has the company's stock as the underlier. |
| Goldman Sachs (Asia) L.L.C., Seoul Branch beneficially owned {number of} Equity Linked Warrants which has the company's stock as the underlier as of the close of business two business days prior to the current date for which it is acting as a liquidity provider: {name of series} |
| Goldman Sachs (Asia) L.L.C., Seoul Branch beneficially owned 1% or more of common equity and common equity linked securities required to be aggregated under Korean securities law (excluding positions held by affiliates of Goldman Sachs (Asia) L.L.C., Seoul Branch) as of the close of business two business days prior to the current date. |
| Goldman Sachs (Asia) L.L.C., Seoul Branch beneficially owned 5% or more of common equity and common equity linked securities required to be aggregated under Korean securities law (excluding positions held by affiliates of Goldman Sachs (Asia) L.L.C., Seoul Branch) and therefore, has suspended research coverage. |
|
Distribution of ratings/investment banking relationships |
|
 |
Previous disclosures
Disclosure codes and definitions prior to March 13, 2008
| MM1 |
Goldman Sachs makes a market in the securities. |
Disclosure codes and definitions prior to November 3, 2007
| JMA |
Japanese Stock Exchange(s) and/or JSDA designated this company's common stock for daily margin trade volume announcements. |
| JMI |
Japanese Stock Exchange(s) and/or JSDA imposed increased margin requirements for this company's common stock. |
| JSL |
Japanese Securities Finance Company has issued a warning against using this company's common stock in loan transactions. |
Disclosure codes and definitions prior to March 14, 2007
| LP1 |
Goldman Sachs beneficially owned 15% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the month end preceding this report. |
Disclosure codes and definitions prior to March 9, 2007
| AD1 |
As a result of its beneficial ownership of this company's common stock, Goldman Sachs may be deemed an affiliate of the issuer. Goldman Sachs disclaims such status. |
| LP2 |
Goldman Sachs beneficially owned 15% or more of common equity (excluding positions managed by affiliates and business units not required to be aggregated under US securities law) as of the second most recent month end. |
Disclosure codes and definitions prior to December 8, 2006
| NBC |
Goldman Sachs has received non-investment banking securities-related compensation during the past 12 months. |
| 1PC1 |
Goldman Sachs beneficially owned 1% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the month end preceding this report. |
| 1PC2 |
Goldman Sachs beneficially owned 1% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the second most recent month end. |
| 5PC1 |
Goldman Sachs beneficially owned 5% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the month end preceding this report. |
| 5PC2 |
Goldman Sachs beneficially owned 5% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the second most recent month end. |
| LP1 |
Goldman Sachs beneficially owned 15% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the month end preceding this report. |
| LP2 |
Goldman Sachs beneficially owned 15% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions managed by Goldman Sachs Asset Management) as of the second most recent month end. |
| SD |
Goldman Sachs and/or its affiliates have a principal investment. |
| AD2 |
As a result of its beneficial ownership of this company's common stock, Goldman Sachs may be deemed an affiliate of the issuer. |
Disclosure codes and definitions prior to September 29, 2006
| NBC
|
Goldman Sachs has received compensation for non-investment banking services in the past 12 months. |
| MC
|
Goldman Sachs has managed or co-managed a public offering in the past 12 months. |
Disclosure codes and definitions prior to August 11, 2006
| AD1
|
As a result of its beneficial ownership of this company's common stock and/or its having directorship(s), Goldman Sachs may be deemed an affiliate of the issuer. Goldman Sachs disclaims such status. |
| AD2
|
As a result of its beneficial ownership of this company's common stock and/or its having directorship(s), Goldman Sachs may be deemed an affiliate of the issuer. |
Disclosure codes and definitions prior to December 9, 2005
| AD |
As a result of its beneficial ownership of this company's common stock, Goldman Sachs may be deemed an affiliate of the issuer. Goldman Sachs disclaims such status. |
| SP |
Goldman Sachs has a net short position of 1% or more of the share capital. |
| MC5 |
Goldman Sachs has managed or co-managed a public offering in the past 5 years. |
Disclosure codes and definitions prior to March 11, 2005
| FA |
Goldman Sachs is acting as a financial advisor in a pending transaction. |
| 1PC1 |
Goldman Sachs beneficially owned 1% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions held by certain affiliates) as of the month end preceding this report. |
| 1PC2 |
Goldman Sachs beneficially owned 1% or more of the common equity (including derivatives exercisable or convertible within 60 days but excluding positions held by certain affiliates) as of the second most recent month end. |
| MM2 |
Goldman Sachs is a specialist in the securities (including derivative securities). |
Disclosure codes and definitions prior to February 2004
| 1PC1 |
The Goldman Sachs Group, Inc. beneficially owned 1% or more of a class of equity securities of the subject company as of the end of the month immediately preceding the publication date of this report. |
| 1PC2 |
If the publication date is less than ten calendar days after month end, The Goldman Sachs Group, Inc. beneficially owned 1% or more of a class of equity securities of the subject company as of the end of the second most recent month. |
| AD |
As a result of its beneficial ownership of this company's common stock, regulations require that we indicate that The Goldman Sachs Group, Inc. may be deemed an affiliate of the issuer. The Goldman Sachs Group, Inc. disclaims such status. |
| BC1 |
The Goldman Sachs Group, Inc. and/or its affiliates have received during the past 12 months compensation for investment banking services from the company, its parent, or its wholly owned or majority-owned subsidiary. |
| BC2 |
The Goldman Sachs Group, Inc. and/or its affiliates expect to receive or intend to seek compensation for investment banking services in the next 3 months from the company, its parent, or its wholly owned or majority-owned subsidiary. |
| DIR |
A director and/or employee of The Goldman Sachs Group, Inc. is a director of the company. |
| JMA |
Japanese Stock Exchange(s) and/or JSDA designated this company's common stock for daily margin trade volume announcements. |
| JMI |
Japanese Stock Exchange(s) and/or JSDA imposed increased margin requirements for this company's common stock. |
| JSL |
Japanese Securities Finance Company has issued a warning against using this company's common stock in loan transactions. |
| MC |
The Goldman Sachs Group, Inc. and/or its affiliates have managed or co-managed a public offering of the company's securities in the past 12 months. |
| MM1 |
The Goldman Sachs Group, Inc. makes a market in the securities of the company. |
| MM2 |
The Goldman Sachs Group, Inc. is a specialist in the securities (including derivative securities) of the company. |
| SD |
The Goldman Sachs Group, Inc. and/or its affiliates have a principal investment in the company's securities. |
MM1 and MM2 codes and definitions in effect prior to September 20, 2003
| MM1 |
The Goldman Sachs Group, Inc. and/or its affiliates make a market or
are the specialist in the securities of the company.
|
| MM2 |
As such, the market maker or specialist may have an inventory position, either
"long" or "short," in the relevant security and may be
on the opposite side of orders executed on the relevant exchange.
|
Disclosure codes and definitions in effect prior to July 9, 2002
| CF |
The Goldman Sachs Group, Inc.
or an affiliate has rendered significant corporate finance services
to the company or affiliates thereof within the past 12 months.
|
| CP |
An affiliate of The Goldman Sachs
Group, Inc. has acted as dealer in the commercial paper of the
company and/or affiliates thereof within the past 12 months.
|
| DP |
The Goldman Sachs Group, Inc.
or an affiliate may deal as principal in any of the securities
mentioned. |
| LA |
The Goldman Sachs Group, Inc.
or an affiliate may deal as principal in the listed ADRs of
this company. |
| M |
The Goldman Sachs Group, Inc.
or an affiliate has managed or co-managed a public offering
of the company's securities in the past several years. |
| MR |
The Goldman Sachs Group, Inc.
or an affiliate has managed or co-managed an offering of the
company's securities in the past several years. |
| SP1 |
The Goldman Sachs Group, Inc.
is associated with a specialist who makes a market in the security
and/or option. At any given time, the associated specialist
may have an inventory position, either "long" or "short,"
in the security and/or option. |
| SP2 |
As a result of the associated
specialist's function as a market maker, such specialist may
be on the opposite side of orders executed on the floor of the
exchange in the security and/or option. |
| The Goldman Sachs Group,
Inc. and/or an affiliate makes an over-the-counter market in
various securities of the companies it follows. The codes are
defined as follows: |
| ADR/ADS |
American depository
receipts/shares |
EC(RTRSY) |
United News Euro convertible into
Reuters ordinary shares |
| BAS |
Bearer A shares |
ES |
Equity Securities |
| BS |
Bearer shares |
G |
Genussschein |
| CD |
Convertible debentures
|
GDR/GDS |
Global depository
receipts/shares |
| CPF |
Convertible preferred
shares |
New CLA |
New Class A special shares
|
| CPF(RTRSY) |
News Corp. convertible preferred convertible into
Reuters ordinary shares |
New CLB |
New Class B shares |
| CLA |
Class A shares |
NVS |
Non-voting shares |
| CLB |
Class B shares |
OS |
Ordinary shares |
| CS |
Common stock |
PC |
Participating certificates |
| CVS |
Convertible voting shares
|
RA |
Registered ADRs |
| EC |
Euro convertibles |
RBS |
Registered bearer shares
|
| ED |
Equity derivatives |
RS |
Registered shares |
| For RS |
Foreign registered shares
|
W |
Warrants |
| EC(ENT) |
Elf Aquitaine Euro convertibles,
convertible
into Enterprise Corporation ordinary shares
|
ZC |
Zero coupon convertibles
|
| EC(MMM) |
D&K Euro convertibles convertible into
Minnesota Mining & Mfrg common stock. |
|
|
