All SBIC Licensees on September 4, 2008 Alabama Harbert Mezzanine Partners II SBIC, L.P. William Lucas, Contact 2100 Third Avenue North, Suite 600 Birmingham, AL 35203- Phone: (205)987-5574 Fax: (205)987-5505 Email: SLRogers@harbert.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Harbinger Mezzanine Partners, L.P. John Harrison, Contact 2100 Third Avenue North, Suite 600 Birmingham, AL 35203- Phone: (615)301-6400 Fax: (615)301-6401 Email: SLRogers@Harbert.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hickory Venture Capital Corporation J. Thomas Noojin, President 301 Washington Street, NW Suite 100 Huntsville, AL 35801 Phone: (256)539-1931 Fax: (256)539-5130 Email: accounting@hvcc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $2,000,000 TYPE OF CAPITAL PROVIDED Equity Convertible Debt FUNDING STAGE REFERENCES Early Stage Expansion LBO MBO INDUSTRY PREFERENCE Healthcare Security & Crime Prevention Retail GEOGRAPHIC PREFERENCES Mid-Atlantic South Southwest DESCRIPTION OF FIRM'S FOCUS Arizona Grayhawk Venture Fund I, L.P. Sherman Chu, Contact 5050 North 40th Street, Suite 310 Phoenix, AZ 85018 Phone: (602)956-8700 Fax: (602)956-8080 Email: schu@gvp.us INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Magnet Capital, L.P. Gregory Mischel/Michael Shields, Contact 4500 N. 32nd Street Suite 201B Phoenix, AZ 85018- Phone: (602)222-4801 Fax: (602)222-4807 Email: info@magnetcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $250,000 Preferred Max: $1,500,000 TYPE OF CAPITAL PROVIDED Loans Mezzanine Equity FUNDING STAGE REFERENCES Expansion Acquisition Growth INDUSTRY PREFERENCE Manufacturing Wholesale Service GEOGRAPHIC PREFERENCES Southwest DESCRIPTION OF FIRM'S FOCUS Arkansas Diamond State Ventures, L.P. Joe T. Hays, Contact 200 South Commerce Street Suite 400 Little Rock, AR 72201-1728 Phone: (501)374-9247 Fax: (501)374-9425 Email: jhays@arcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Small Business Investment Capital, Inc. John R. Mills, President 12103 Interstate 30 Mail: P.O. Box 3627 Little Rock, AR 72203 Phone: (501)455-6599 Fax: (501)455-6556 Email: jmills@afslr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $230,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE REFERENCES Start-Ups Debt Consolidations INDUSTRY PREFERENCE Supermarkets GEOGRAPHIC PREFERENCES Arkansas Oklahoma Texas Louisiana DESCRIPTION OF FIRM'S FOCUS California Bank of America Ventures Hayley Hoad, Manager, Administration 950 Tower Lane, Suite 700 Foster City, CA 94404 Phone: (650)378-6000 Fax: (650)378-6040 Email: hayley@scalevp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $12,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Early Stage Expansion Later Stage INDUSTRY PREFERENCE Communications/Systems Internet Infrastructure/Software/Svcs BtoB e-Commerce Medical Related Biotechnology GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Bentley Capital (SSBIC) John Hung, President 290 7th Avenue San Francisco, CA 94118- Phone: (415)751-1608 Fax: (415)751-2110 Email: lc-chan@att.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Early Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES West DESCRIPTION OF FIRM'S FOCUS Celerity Partners SBIC, L.P. Clifford A. Lyon, Contact 11111 Santa Monica Blvd., Suite 1127 Los Angeles, CA 90025 Fax: (310)268-1712 Email: kraus@celeritypartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Champlain Capital Partners, L.P. Dennis M. Leary, Contact 44 Montgomery Street Suite 1920 San Francisco, CA 9410- Phone: (415)661-2500 Fax: (415)362-3211 Email: dleary@champlaincapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS CVP SBIC, L.P. Christopher J. Hadsell, Contact 1010 El Camino Real, Suite 250 Menlo Park, CA 94025 Phone: (650)614-4860 Fax: (650)614-4865 Email: derek@cardinalvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Draper Associates, a California LP Timothy C. Draper, President 2882 Sand Hill Road #150 Menlo Park, CA 94025 Phone: (650)233-9000 Fax: (650)234-8584 Email: karen@dfj.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Draper-Richards L.P. William Draper III, President 50 California Street, Suite 2925 San Francisco, CA 94111 Phone: (415)616-4050 Fax: (415)616-4060 Email: Cynthia@draperrichards.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $200,000 Preferred Max: $400,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Seed Early Stage INDUSTRY PREFERENCE Internet Software GEOGRAPHIC PREFERENCES California Boston, MA District of Columbia DESCRIPTION OF FIRM'S FOCUS Seed stage software/internet deals in Silicon Valley, Boston or District of Columbia areas. East Gate Private Equity Fund III, L.P. Ken Choi, Contact 514 High Street, Suite #5 Palo Alto, CA 94301 Phone: (650)325-5077 Fax: (650)325-5072 Email: bcbrant@eg-group.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Emergence Capital Partners SBIC, L.P. Gordon Ritter, Contact 160 Bovet Road, Suite 300 San Mateo, CA 94402 Phone: (650)573-3100 Fax: (650)573-3119 Email: gritter@emergencecap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES First Institutional Round INDUSTRY PREFERENCE Technology GEOGRAPHIC PREFERENCES Nationwide DESCRIPTION OF FIRM'S FOCUS Technology Software and Services Far East Capital Corp. Edmond Hon 350 S. Grand Ave., Suite 4100 Los Angeles, CA 90071 Phone: (213)830-2430 Fax: (213)830-2415 Email: Bowen.Chang@FENB-US.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $250,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES California DESCRIPTION OF FIRM'S FOCUS GCG SBIC Investors, L.P. 111 Sutter Street, Suite 1950 San Francisco, CA 94104 Phone: (415)273-3506 Fax: (415)362-3311 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS GKM SBIC, L.P. Jonathan R. Bloch, Contact 11150 Santa Monica Blvd., Suite 825 Los Angeles, CA 90025 Phone: (310)268-2623 Fax: (310)268-0870 Email: jbloch@gkmventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hamilton BioVentures, LP Richard Crosby, Contact 990 Highland Drive, Suite 314 Solana Beach, CA 92075- Phone: (858)314-2350 Fax: (858)314-2355 Email: rcrosby@hamiltonbioventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hercules Technology II, L.P. Scott Harvey, Contact 525 University Avenue, Suite 700 Palo Alto, CA 94301 Phone: (847)867-1953 Fax: (866)828-6687 Email: sharvey@herculestech.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Horizon Ventures Fund II, LP Debby Schilling, Contact 4 Main Street, Suite 50 Los Altos, CA 94022 Phone: (650)917-4100 Fax: (650)917-4109 Email: debby@horizonvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Housatonic Equity Investors SBIC, L.P. Barry Reynolds, Will Thorndike 44 Montgomery Street, Suite 4010 San Francisco, CA 94104 Phone: (415)955-9020 Fax: (415)981-0617 Email: breynolds@housatonicpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $7,000,000 TYPE OF CAPITAL PROVIDED Equity Investments FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE Business Services Media Communications GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Housatonic Micro Fund SBIC, L.P. Barry Reynolds, Contact 44 Montgomery Street, Suite 4010 San Francisco, CA 94104 Phone: (415)981-0616 Fax: (415)981-0617 Email: breynolds@housatonicpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Huntington Capital, L.P. Morgan Miller and Barry Wilson, Contacts 11988 El Camino Real, Suite 160 San Diego, CA 92130 Phone: (858)259-7654 Fax: (858)259-0074 Email: susan@huntingtoncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $750,000 Preferred Max: $1,400,000 TYPE OF CAPITAL PROVIDED Mezzanine Debt and Equity FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE Diversified. No bleeding edge technology. GEOGRAPHIC PREFERENCES Southwest USA DESCRIPTION OF FIRM'S FOCUS Please see www.huntingtoncapital.com Labrador Ventures V-B, L.P. Sean Foote, Contact 101 University Avenue, 4th Floor Palo Alto, CA 94301 Phone: (650)366-6000 Fax: (650)366-6430 Email: mpollasky@labrador.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Marwit Capital Company, L.P. Chris Britt, President 100 Bayview Circle Suite 550 Newport Beach, CA 92660 Phone: (949)861-3636 Fax: (949)861-3637 Email: mckay@marwit.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Sub. Debt w/Equity Preferred Stock FUNDING STAGE REFERENCES Expansion Acquisitions Buyouts INDUSTRY PREFERENCE Manufacturing/Distribution Telecommunications/Media Healthcare/Medical Food/Consumer Products Diversified GEOGRAPHIC PREFERENCES Western US DESCRIPTION OF FIRM'S FOCUS Founded in 1962, Marwit Capital is one of the oldest SBICs in the country. Provides capital to and acts as a financial sponsor for growing middle market companies in a wide range of industries Prefer sub-debt financings, but will also invest equity. Montreux Equity Partners II SBIC, L.P. Daniel K. Turner III, General Partner 3000 Sand Hill Road Building 1, Suite 260 Menlo Park, CA 94025-7073 Phone: (650)234-1200 Fax: (650)234-1250 Email: dturner@montreuxequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Montreux Equity Partners III SBIC, L.P. Daniel K. Turner III, General Partner 3000 Sand Hill Road Building 1, Suite 260 Menlo Park, CA 94025-7073 Phone: (650)234-1200 Fax: (650)234-1250 Email: dturner@montreuxequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Opportunity Capital Corporation (SSBIC) J. Peter Thompson, President 2201 Walnut Avenue, Suite 210 Fremont, CA 94538 Phone: (510)795-7000 Fax: (510)494-5439 Email: rcg@ocpcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $150,000 Preferred Max: $300,000 TYPE OF CAPITAL PROVIDED Debt w/Warrants Equity FUNDING STAGE REFERENCES Expansion Later Stage Acquisitions INDUSTRY PREFERENCE Manufacturing Healthcare Telecommunications Diversified GEOGRAPHIC PREFERENCES West Coast National DESCRIPTION OF FIRM'S FOCUS Provides financing to minority entrepreneurs who seek to acquire or expand profitable, well-managed companies that have the potential to produce significant investment returns via a combination of current income and equity appreciation. Outlook Ventures III, L.P. Carl Nichols, Contact 135 Main Street, Suite 1350 San Francisco, CA 94105 Phone: (415)547-0000 Fax: (415)547-0010 Email: carl@outlookventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Seed Early Stage Expansion FUNDING STAGE REFERENCES INDUSTRY PREFERENCE Technology Software GEOGRAPHIC PREFERENCES Western United States DESCRIPTION OF FIRM'S FOCUS Outlook Venture's strategy is to be the first institutional investor in sustainable software-based businesses. Pacific Mezzanine Fund, L.P. Nathan W. Bell, General Partner 2 Theatre Square, Suite 210 Orinda, CA 94563- Phone: (510)595-9800 Fax: (510)595-9801 Email: mcs@pacmezz.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Loans w/Equity Features FUNDING STAGE REFERENCES Expansion Later Stage Buyouts INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Western US DESCRIPTION OF FIRM'S FOCUS Peninsula Equity Partners SBIC, L.P. Gregory C. Ennis, Contact 3000 Sand Hill Road Building 3, Suite 125 Menlo Park, CA 94025 Phone: (650)854-0314 Fax: (650)854-0670 Email: ennis@peninsulaequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Positive Enterprises, Inc. (SSBIC) Kwok Szeto, President 1489 Webster Street, Suite 228 San Francisco, CA 94115 Phone: (415)885-6600 Fax: (415)928-6363 Email: nszeto@pei-sba.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $150,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Expansion Early Stage Later Stage INDUSTRY PREFERENCE Diversified Rest Homes Manufacturing Light Industry GEOGRAPHIC PREFERENCES North Regional DESCRIPTION OF FIRM'S FOCUS Red Rock Ventures SBIC III, L.P. Laura Gwosden , Contact 180 Lytton Avenue Palo Alto, CA 94301 Phone: (650)325-3111 Fax: (650)853-7044 Email: lgwosden@redrockventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Rembrandt Venture Partners II, L.P. Gerald S. Casilil, Contact 2200 Sand Hill Road, Suite 160 Menlo Park, CA 94025 Phone: (650)326-7070 Fax: (650)326-3780 Email: jcasilli@rembrandtvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Rustic Canyon Ventures SBIC, L.P. Paul Notaras, Contact 2425 Olympic Blvd., Suite 6050 W Santa Monica, CA 90404 Phone: (310)998-8050 Fax: (310)998-8061 Email: paul@rusticcanyon.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS SAIL Venture Partners, L.P. David Jones, Contact 600 Anton Blvd., Suite 1010 Costa Mesa, CA 92626 Phone: (714)241-7500 Fax: (714)241-7505 Email: djones@sailvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Shepherd Ventures II, L.P. George C. Kenney, Contact 12250 El Camino Real, Suite 116 San Diego, CA 92130- Phone: (858)509-4744 Fax: (858)509-3662 Email: olga@shepherdventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Sorrento Growth Partners I, L.P. Robert Jaffe, Manager 4370 La Jolla Village Drive, Suite 1040 San Diego, CA 92122 Phone: (858)452-3100 Fax: (858)452-7607 Email: ecampbell@sorrentoventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Early Stage INDUSTRY PREFERENCE Med./Health Special Retail Communications/ Electronics GEOGRAPHIC PREFERENCES Southern California DESCRIPTION OF FIRM'S FOCUS St. Cloud Capital Partners, L.P. Casey E. Tennyson, Controller 10866 Wilshire Blvd., Suite 1450 Los Angeles, CA 90024 Phone: (310)475-2700 Fax: (310)475-0550 Email: ctennyson@stcloudcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $2,000,000 TYPE OF CAPITAL PROVIDED Loans Converible Debt Securities Debt Securities with Warrants FUNDING STAGE REFERENCES Primarily Growth and Expansion Financing Some Turnaround, Development and Buyout Financing INDUSTRY PREFERENCE Diversified, subject to SBA limits GEOGRAPHIC PREFERENCES Western United States preferred DESCRIPTION OF FIRM'S FOCUS St. Cloud seeks well-managed, established companies with opportunites to significantly grow their valuation by increasing sales and/or enhancing margins to increase net profitability. Prefer companies with strong debt sevice capability. Stone Canyon Venture Partners, L.P. Mike Seibert, Contact 150 Barrington Place Los Angeles, CA 90049 Phone: (310)432-5180 Fax: (310)861-0101 Email: mseibert@scvp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Telegraph Hill Partners SBIC, L.P. Robert G. Shepler, Contact 360 Post Street, Suite 601 San Francisco, CA 94108 Phone: (415)765-6980 Fax: (415)765-6983 Email: rgs@thpartners.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $7,000,000 TYPE OF CAPITAL PROVIDED Equity capital FUNDING STAGE REFERENCES Early, mid, late stage. Capital to be used for growth of revenue generating businesses. INDUSTRY PREFERENCE Life sciences, healthcare, medical devices, chemistry, fine chemicals, modular biology. GEOGRAPHIC PREFERENCES Throughout US DESCRIPTION OF FIRM'S FOCUS Life science and healthcare companies with proven business models. The company should have revenues from unique leading products and show strong growth and a path to profitability TeleSoft Partners II SBIC, L.P. Arjun Gupta, Manager Metro Center Tower 950 Tower Lane, Suite 1600 Foster City, CA 94404 Phone: (650)358-2500 Fax: (650)358-2501 Email: telesoft@telesoftvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Colorado Appian Ventures SBIC I, L.P. Phillip Dignan, Contact 1512 Larimer Street, Suite 200 Denver, CO 80202- Phone: (303)830-2450 Fax: (303)830-2449 Email: phillip@appianvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Seed - 10% Early - 70% Growth - 20% INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Colorado - 60% Western U.S. - 40% DESCRIPTION OF FIRM'S FOCUS IT/Communicaitons technology with early stage emphasis. Roaring Fork Capital SBIC, L.P. Eugene McColley, Contact 5350 South Roslyn Street, Suite 380 Greenwood Villag, CO 80111-2124 Phone: (303)694-1300 Fax: (303)694-1181 Email: tiffany@roaringforkcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES Expansion atage - 50% Later stage - 50% INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES N/A DESCRIPTION OF FIRM'S FOCUS publicly held small business (micro cap) Vista Ventures Advantage, LP Catharine M. Merigold, Contact 1011 Walnut Street, Suite 410 Boulder, CO 80302 Phone: (303)543-5716 Fax: (303)543-5717 Email: catharine@vistavc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Connecticut AB SBIC, Inc. Michael A. Bozzuto, President 275 School House Road Cheshire, CT 06410 Phone: (203)250-5201 Fax: (203)250-2954 Email: lablamsky@bozzutos.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE REFERENCES Expansion INDUSTRY PREFERENCE Food Stores GEOGRAPHIC PREFERENCES North DESCRIPTION OF FIRM'S FOCUS Altus Capital Partners SBIC, L.P. Russell Greenberg, Contact 10 Wright Street, Suite 110 Westport, CT 06880 Phone: (203)429-2006 Fax: (203)429-2010 Email: rgreenberg@altuscapitalpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Brookside Pecks Capital Partners, L.P. David D. Buttolph, Corey Sclar; Contact 80 Field Point Road Greenwich, CT 06830 Phone: (203)618-0202 Fax: (203)618-0984 Email: dbuttolph@brooksidegrp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $6,500,000 TYPE OF CAPITAL PROVIDED Subordinated Debt FUNDING STAGE REFERENCES Acquisition Expansion Recapitalizations MBO INDUSTRY PREFERENCE Manufacturing Service Value-Added Distribution GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Provides subordinated debt investments to profitable later-stage companies. Cygnet Capital Partners L.P. SBIC Owen S. Crihfield, Contact c/o Hamilton Robinson LLC 281 Tresser Blvd., 4th Floor, Suite 1000 Stamford, CT 06901 Phone: (203)602-0011 Fax: (203)602-2206 Email: osc@hrco.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Prefer Equity Investments FUNDING STAGE REFERENCES Later Stage Expansion Acquisitions INDUSTRY PREFERENCE Manufacturing, Distribution Services, Outsourcing Bus-to-Bus Applications Industrial Process, Energy Engineered Products, Utilities GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Equity investments in profitable, smaller, middle market businesses Equinox Capital SBIC, L.P. Steven C. Rodger, Contact 41 West Putnam Avenue Greenwich, CT 06830 Phone: (203)622-1605 Fax: (203)622-4684 Email: scr@equinoxcapitalinc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS First New England Capital 2, L.P. Richard Klaffky, Manager 100 Pearl Street Hartford, CT 06103 Phone: (860)293-3333 Fax: (860)293-3338 Email: rklaffky@fnec.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS First New England Capital III, L.P. Richard C. Klaffky, President 100 Pearl Street Hartford, CT 06103 Phone: (860)293-3333 Fax: (860)293-3338 Email: rklaffky@fnec.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS First New England Capital, LP Richard C. Klaffky, President 100 Pearl Street Hartford, CT 06103 Phone: (860)293-3333 Fax: (860)293-3338 Email: rklaffky@fnec.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Equity FUNDING STAGE REFERENCES Expansion Later Stage Acquisition INDUSTRY PREFERENCE Manufacturing Distribution Service GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS Provides subordinated debt and equity capital to later stage companies for expansion and acquisition. Target companies with revenues of at least $5 million and profitability at the time of investment. GreenLeaf Capital, L.P. Michael B. Cowan, Contact 130 Main Street New Canaan, CT 06840 Phone: (203)716-6106 Fax: (203)716-6206 Email: mcowan@whitney.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Ironwood Equity Fund LP Marc A. Reich, Contact 55 Nod Road c/o Ironwood Capital Advisors LLC Avon, CT 06001 Phone: (860)409-2101 Fax: (860)409-2120 Email: reich@ironwoodcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Ironwood Mezzanine Fund II LP Marc A. Reich, Contact 55 Nod Road c/o Ironwood Capital Advisors LLC Avon, CT 06001 Phone: (860)409-2101 Fax: (860)409-2120 Email: reich@ironwoodcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Ironwood Mezzanine Fund, L.P. Marc Reich, President, Contact 55 Nod Road c/o Ironwood Capital Advisors LLC Avon, CT 06001 Phone: (860)409-2101 Fax: (860)409-2120 Email: reich@ironwoodcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $4,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt w/Warrants FUNDING STAGE REFERENCES Expansion Acquisitions Consolidations Recapitalizations MBO/Managemnt Successions INDUSTRY PREFERENCE Manufacturing Service Distribution Consumer Products Diversified GEOGRAPHIC PREFERENCES Mid-Atlantic through Northeast DESCRIPTION OF FIRM'S FOCUS Gen. Mezzanine investor in established com- panies. Seeking to invest in businesses ownd by women & people of color & businesses located in low and moderate income areas. JHW Greentree Capital, L.P. Michael B. Cowan, Contact 130 Main Street New Canaan, CT 06840 Phone: (203)716-6106 Fax: (203)716-6206 Email: mcowan@whitney.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED Equity - 75% FUNDING STAGE REFERENCES Early stage - 25% Growth and Expansion - 75 INDUSTRY PREFERENCE $8 million to $10 million GEOGRAPHIC PREFERENCES National basis DESCRIPTION OF FIRM'S FOCUS Retail/wholesale distribution - 15%; Manufacturing - 25% Helathcare - 25% Basic Industries and Services - 35% Madison Investment Partners II, L.P. Susan Goodrich, Contact 82 Bradley Road Madison, CT 06443 Phone: (203)949-0400 Fax: (203)245-6945 Email: sgoodrich@madisonpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Marketing 1 to 1 Ventures, L.P. Bruce Blasnik, Contact One Stamford Landing Suite 101 Stamford, CT 06902 Phone: (203)325-4000 Fax: (203)967-8733 Email: bruceb@1to1ventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS MSR I SBIC, L.P. Daniel A. Levinson 120 Post Road West, Suite 101 Westport, CT 06880 Phone: (203)227-5320 Fax: (203)227-5312 Email: mt@mainstreetresources.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES Growing stage INDUSTRY PREFERENCE $1 million to $10 million four investments each year GEOGRAPHIC PREFERENCES Northeast region of U.S. New York, New Jersey Connecticut, Massachusett DESCRIPTION OF FIRM'S FOCUS value approach, no industry focus RFE Investment Partners V, L.P. James A. Parsons, General Partner 36 Grove Street New Canaan, CT 06840 Phone: (203)966-2800 Fax: (203)966-3109 Email: djuricic@rfeip.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $5,000,000 Preferred Max: $9,000,000 TYPE OF CAPITAL PROVIDED Prefer Equity Investments FUNDING STAGE REFERENCES Later Stage Expansion Acquisitions INDUSTRY PREFERENCE Manufacturing Services Healthcare Distribution GEOGRAPHIC PREFERENCES National Eastern US DESCRIPTION OF FIRM'S FOCUS Equity investments in acquisitions, recapitalizations and growth financings of profitable manufacturing, service or distribution businesses with at least $15 million in annual revenues and attractive growth prospects. RFE VI SBIC, L.P. James Parsons, Managing Member. 36 Grove Street New Canaan, CT 06840 Phone: (203)966-2800 Fax: (203)966-3109 Email: djuricic@rfeip.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $8,000,000 Preferred Max: $15,000,000 TYPE OF CAPITAL PROVIDED Prefer Equity Investments FUNDING STAGE REFERENCES Later Stage Expansion Acquisitions INDUSTRY PREFERENCE Manufacturing Healthcare Distribution Services GEOGRAPHIC PREFERENCES National Eastern US DESCRIPTION OF FIRM'S FOCUS Equity investments in acquisitions, recapitalizations and growth financings of profitable manufacturing, service or distribution businesses with at least $15million in annual revenues and attractive growth prospects. Saugatuck Capital Company, L.P. IV, SBIC Frank Hawley, Thomas Berardino One Canterbury Green Stamford, CT 06901 Phone: (203)348-6669 Fax: 203-324-6995 Email: TBerardino@saugatuckcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS TD Lighthouse Capital Fund, L.P. Joan Neuscheler, Contact c/o Tullis Dickerson Company, Inc. Two Greenwich Plaza, 4th Floor Greenwich, CT 06830 Phone: (203)629-8700 Fax: (203)629-9293 Email: mmcleish@tullisdickerson.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS TD Lighthouse Capital Fund, L.P. Two Greenwich Plaza, 4th Floor Greenwich, CT 06830- Phone: (203)629-8700 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Valentis SB, L.P. Paul M. Jacobi 411 West Putnam Avenue Greenwich, CT 06830 Phone: (203)862-7074 Fax: (203)862-7374 Email: pjacob@wexford.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Delaware Inflection Point Ventures II, L.P. Jeffrey A. Davison, Contact 1 Innovation Way Suite 500 Newark, DE 19711 Phone: (302)452-1120 Fax: (302)452-1122 Email: jdavison@inflectpoint.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Innovation Ventures, L.P. David J. Freschman, Contact Three Mill Road, Suite 201 Wilmington, DE 19806 Phone: (302)777-1616 Fax: (302)777-1620 Email: djf@innovationventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS District of Col. Alpine Equity, L.P. George McCabe, Contact 1055 Thomas Jefferson Street, NW Suite 650 Washington, DC 20007-5256 Phone: (202)333-7784 Fax: (202)333-7786 Email: george@pinecreekpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED 52.8% entity institutional inv 29.8% indiv institutional inv 17.4% dual commitments FUNDING STAGE REFERENCES 15% Exapnsion 35% Later Stage 50% Change-of-Control INDUSTRY PREFERENCE $10 million - $75 million in total enterprise value ("micro cap companies") GEOGRAPHIC PREFERENCES East Coast w/ emphasis on Mid-Atlantic region DESCRIPTION OF FIRM'S FOCUS Financial services Educational products and services Selected consumer products Select federal government contractors Core Capital Partners II-S, L.P. William Dunbar, Contact 1401 I Street, NW, Suite 1000 Washington, DC 20005 Phone: (202)589-0090 Fax: (202)589-0091 Email: rklueger@core-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Core Capital Partners, L.P. William Dunbar, Jonathan Silver, Contact 1401 I Street, NW, Suite 1000 Washington, DC 20005 Phone: (202)589-0090 Fax: (202)589-0091 Email: rklueger@core-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Grosvenor Special Ventures IV, L.P. Bruce B. Dunnan 1808 Eye Street, N.W. , Suite 900 Washington, DC 20006 Phone: (202)861-5650 Fax: (202)861-5653 Email: bbd@grosvenorfund.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Florida Banyan Mezzanine Fund, L.P. John A. Miller, Contact P.O. Box 45-0963 Miami, FL 33245-0963 Phone: (305)755-0376 Fax: (305)755-0377 Email: jmiller@banyanmezzanine.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED No Start-Ups FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Does not invest in start-ups, real estate, oil/energy, or turnarounds. Requires min EBITDA of $1mm and revenues of $10mm. BOCF, LLC Steven F. Lux 707 Azeele Street Tampa, FL 33606 Phone: (813)223-9335 Fax: (813)221-6453 Email: sflux@stonehengecapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS CapitalSouth Partners Fund I, L.P. David Reed 712 South Oregon Avenue, Suite 200 Tampa, FL 33606- Phone: (813)202-8128 Fax: (813)835-4197 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS CapitalSouth Partners Fund II, L.P. David Reed 712 South Oregon Avenue Suite 200 Tampa, FL 33606- Phone: (813)202-8128 Fax: (813)835-4197 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS KLH Capital, L.P. Mark J. Hunter, Contact 101 E. Kennedy Blvd., Suite 3925 Tampa, FL 33602 Phone: (813)222-8000 Fax: (813)222-8001 Email: www.KLHCapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Market Capital Corp. Eugene C. Langford, President 1715 W. Cleveland Street Tampa, FL 33606 Phone: (813)251-6055 Fax: (813)251-1900 Email: pcaskey@langfordhill.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $157,000 TYPE OF CAPITAL PROVIDED Secured Loans FUNDING STAGE REFERENCES All Stages INDUSTRY PREFERENCE Retail Grocery GEOGRAPHIC PREFERENCES Florida DESCRIPTION OF FIRM'S FOCUS Power Equities, Inc. Maureen Beavers 50 N. Laura Street, 9th Floor FL9-001-09-03 Jacksonville, FL 32202 Phone: (904)791-7601 Fax: (904)791-7516 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Georgia EGL/NatWest Equity Partners USA, L.P. Salvatore Massaro, Manager 3495 Piedmont Road Building 11, Suite 412 Atlanta, GA 30305 Phone: (404)949-8303 Fax: (404)795-0976 Email: samassaro@eglholdings.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Salem Capital Partners II, L.P. 600 Paces Summit 2410 Paces Ferry Road Atlanta, GA 30339- Phone: (770)805-2320 Fax: (770)805-2185 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hawaii Pacific Venture Capital, Ltd. Frank Tokioka 222 South Vineyard Street PH.1 Honolulu, HI 96813 Phone: (808)521-6502 Fax: (808)521-6541 Email: dperk@lava.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity Subordinated Debt FUNDING STAGE REFERENCES Early Stage Expansion Later Stage INDUSTRY PREFERENCE Technology Diversified GEOGRAPHIC PREFERENCES Regional DESCRIPTION OF FIRM'S FOCUS Illinois Aldine SBIC Fund, L.P. Albert L. Brahm, Contact 30 West Monroe Street Suite 1310 Chicago, IL 60603- Phone: (312)346-3950 Fax: (312)346-3930 Email: bbrahm@aldinecapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Alpha Capital III SBIC, L.P. Andrew H. Kalnow, Contact 122 South Michigan Avenue Suite 1700 Chicago, IL 60603 Phone: (312)322-9800 Fax: (312)322-9808 Email: GaryStark@alphacapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Altus Capital Partners SBIC, L.P. 250 Parkway Drive, Suite 120 Lincolnshire, IL 60069 Phone: (847)229-0770 Fax: (847)229-9271 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Cardinal Growth, L.P. Joseph M. McInerney, Contact 311 South Wacker Drive, Suite 5500 Chicago, IL 60606 Phone: (312)913-1000 Fax: (312)913-1001 Email: mphelan@cardinalgrowth.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS CFB Venture Fund L.P. Dan W. O' Connell 120 S. Riverside, Suite 2160 Chicago, IL 60606 Phone: (312)466-9276 Fax: (312)466-9278 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Channel Medical Partners, L.P. Gregory Shearer, Contact 5750 Old Orchard Road, Suite 310 Skokie, IL 60077 Phone: (847)779-1550 Fax: (847)779-1535 Email: gshearer@chanmed.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES INDUSTRY PREFERENCE Medical Technology GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Chicago Venture Partners, L.P. John Fife, Manager 303 East Wacker Drive, Suite 311 Chicago, IL 60601 Phone: (312)297-7000 Fax: (312)819-9701 Email: general@chicagoventure.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Continental Illinois Venture Corp. Terry Perucca, President 231 South LaSalle Street Chicago, IL 60697 Phone: (312)828-2287 Fax: (312)923-0668 Email: erick.c.christensen@bankofamerica.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $5,000,000 Preferred Max: $50,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Equity FUNDING STAGE REFERENCES Expansion Later Stage MBO INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Makes majority and minority equity investments in established service and manufacturing businesses in the U.S. with at least $20 million in sales and $5 million in EBITDA. DNJ Leasing II, L.P. Jeffery S. Pfeffer, Contact 10 S. Wacker Drive, Suite 1840 Chicago, IL 60606 Phone: (312)629-2878 Fax: (312)629-2874 Email: jspfeffer@capxpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Dunrath Capital Infrastructure Surety Fund, John Abernethy, Contact 53 West Jackson Blvd., Suite 715 Chicago, IL 60604- Phone: (312)546-4700 Fax: (312)386-9454 Email: steve@dunrath.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Fidus Mezzanine Capital, L.P. Edward H. Ross, Contact 190 S. LaSalle Street, Suite 2140 Chicago, IL 60603- Phone: (312)284-5201 Fax: (312)914-4456 Email: eross@fiduspartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Fidus Mezzanine Capital, L.P. 225 W. Washington Street Suite 2200 Chicago, IL 60606 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS GCG SBIC Investors, L.P. 225 W. Washington Street Chicago, IL 60606 Phone: (312)346-7442 Fax: (312)346-7441 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS GCG SBIC Investors, L.P. Jeffery Birch, Contact 230 West Monroe Street, Suite 2000 Chicago, IL 60606 Phone: (312)849-0008 Fax: (312)849-0000 Email: birch@greyrockcapitalgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Granite Creek FlexCap I, L.P. Mark A. Radzik, Contact 222 West Adams, Suite 1980 Chicago, IL 60606- Phone: (312)895-4503 Fax: (312)895-4509 Email: mark@granitecreek.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS High Street Capital III SBIC, L.P. Joseph R. Katcha, Contact 11 South LaSalle Street, 5th Floor Chicago, IL 60603 Phone: (312)423-2650 Fax: (312)423-2655 Email: jkatcha@highstr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hispania Private Equity, L.P. Victor L. Maruri, Contact 311 South Wacker Drive Suite 4200 Chicago, IL 60606 Phone: (312)697-4590 Fax: (312)697-4598 Email: vmaruri@hispaniapartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Growth to later stage INDUSTRY PREFERENCE $3 million to $5 million GEOGRAPHIC PREFERENCES Hispanic owned business in U.S. and Puerto Rico DESCRIPTION OF FIRM'S FOCUS media and entertainment, business services, food and beverage financial services education Hopewell Ventures, L.P. Craig Overmyer, Contact 20 North Wacker Drive, Suite 2200 Chicago, IL 60606 Phone: (312)357-9600 Fax: (312)357-9620 Email: overmyer@hopewellventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS LaSalle Capital Group, L.P. Andrew Shackelford, CFO Three First National Plaza, Suite 5710 Chicago, IL 60602 Phone: (312)236-7041 Fax: (312)236-0720 Email: ashackelford@lasallecapitalgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS MK Capital SBIC, L.P. Bret R. Maxwell, Contact 1033 Skokie Boulevard, Suite 430 Northbrook, IL 60062 Phone: (312)324-7703 Fax: (312)324-7713 Email: bmaxwell@mkcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Prairie Capital II, L.P. C. Bryan Daniels, Contact 191 N. Wacker Drive, Suite 800 Chicago, IL 60606 Phone: (312)360-1133 Fax: (312)360-1193 Email: hlane@prairie-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Prairie Capital III QP, L.P. C. Bryan Daniels, Contact 191 N. Wacker Drive, Suite 800 Chicago, IL 60606 Phone: (312)360-1133 Fax: (312)360-1193 Email: hlane@prairie-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Prairie Capital III, L.P. C. Bryan Daniels, Contact 191 N. Wacker Drive, Suite 800 Chicago, IL 60606 Phone: (312)360-1133 Fax: (312)360-1193 Email: hlane@prairie-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Prairie Capital Mezzanine Fund, L.P. Bryan Daniels & Stephen King, Partners 191 N. Wacker Drive, Suite 800 Chicago, IL 60606 Phone: (312)360-1133 Fax: (312)360-1193 Email: hlane@prairie-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $4,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Equity FUNDING STAGE REFERENCES Later Stage Expansion Acquisition MBO LBO INDUSTRY PREFERENCE Manufacturing Service GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Private equity fund focused on lower- middle market companies in the manufacturing and service sectors requiring capital to support growth or a change of ownership. Prism Mezzanine Fund SBIC, L.P. Robert Finkel, Contact 444 N. Michigan Avenue, Suite 1910 Chicago, IL 60611 Phone: (312)464-7900 Fax: (312)464-7915 Email: BL@prismfund.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Prism Opportunity Fund SBIC, L.P. Robert A. Finkel, Managing Partner 444 N. Michigan Avenue, Suite 1910 Chicago, IL 60611 Phone: (312)464-7900 Fax: (312)464-7915 Email: BL@prismfund.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS SvoCo, L.P. John Svoboda, Michelle Collins, Contacts 1 North Franklin Street Suite 1500 Chicago, IL 60606 Phone: (312)267-8750 Fax: (312)759-7855 Email: jas@svoco.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Valor Equity Partners, L.P. Antonio Gracias, Contact 200 S. Michigan Avenue, Suite 1020 Chicago, IL 60604- Phone: (312)683-1900 Fax: (312)683-1881 Email: jshulkin@valorep.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Vogen Funding, L.P. Jeffery S. Pfeffer, Contact 10 S. Wacker Drive, Suite 1840 Chicago, IL 60606 Phone: (312)629-2878 Fax: (312)629-2874 Email: jspfeffer@capxpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Indiana 1st Source Capital Corporation Eugene L. Cavanaugh, Jr., Vice President P.O. Box 1602 South Bend, IN 46634 Phone: (574)235-2180 Fax: (574)235-2227 Email: cavanaugh@1stsource.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $300,000 Preferred Max: $600,000 TYPE OF CAPITAL PROVIDED Equity Debt with Equity FUNDING STAGE REFERENCES Later Stage Expansion Acquisitions MBO INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Midwest DESCRIPTION OF FIRM'S FOCUS Financings sought include second/third stage financings for companies with significant growth potential, acquisitions, management buyouts, and transfers of ownership. Of primary interest are companies involved in manufacturing, sales or distribution. Cambridge Ventures, LP Ms. Jean Wojtowicz, President 4181 East 96th Street Suite 200 Indianapolis, IN 46240 Phone: (317)814-6192 Fax: (317)844-9815 Email: jwojtowicz@cambridgecapitalmgmt.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Subordinate Debt Equity Debt FUNDING STAGE REFERENCES Expansion Acquisition MBO INDUSTRY PREFERENCE Diversified Manufacturing GEOGRAPHIC PREFERENCES Within 200 miles of IN DESCRIPTION OF FIRM'S FOCUS Prefers to invest in companies that are cash flow positive, in need of growth, expansion or acquisition capital. Centerfield Capital Partners, L.P. D. Scott Lutzke, Contact 3030 Market Tower 10 West Market Street Indianapolis, IN 46204 Phone: (317)237-2323 Fax: (317)237-2325 Email: SCOTT@centerfieldcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Irwin Ventures SBIC LLC David Meyercord, Contact 500 Washington Street Columbus, IN 47201 Phone: (812)373-1434 Fax: (812)376-1709 Email: dave.meyercord@irwinventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Iowa AAVIN Equity Partners I, L.P. James D. Thorpe, Contact 118 Third Avenue, SE, Suite 630 Cedar Rapids, IA 52401 Phone: (319)247-1072 Fax: (319)363-9519 Email: jthorp@aavin.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Lewis & Clark Private Equities, L.P. David R. Schroder, Contact 101 Second Street, SE, Suite 800 Cedar Rapids, IA 52401 Phone: (319)363-8249 Fax: (319)363-9683 Email: mbenge@investam.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS North Dakota SBIC, L.P. David R. Schroder, Manager 101 Second Street SE, Suite 800 Cedar Rapids, IA 52401 Phone: (701)298-0003 Fax: (701)293-7819 Email: mbenge@investam.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $750,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Preferred Stock-Warrants Equity FUNDING STAGE REFERENCES Expansion Later Stage INDUSTRY PREFERENCE Manufacturing Service Distribution GEOGRAPHIC PREFERENCES North Dakota South Dakota Minnesota Montana National DESCRIPTION OF FIRM'S FOCUS Invests nationally in growth and later stage manufacturing, service, and distribution businesses with $5 to $40 million in sales seeking $1 to $7 million in equity or near equity financing to fund growth or buyouts. Focused on ND & contiguous states. Kansas Kansas Venture Capital, Inc. Marshall D. Parker Pinnacle Corporate Centre I, Suite 250 11300 Tomahawk Creek Parkway Leawood, KS 66211- Phone: (913)262-7117 Fax: (913)262-3509 Email: mparker@kvci.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Equity Subordinated Debt FUNDING STAGE REFERENCES No Seed All Other Stages INDUSTRY PREFERENCE Manufacturing Diversified GEOGRAPHIC PREFERENCES Kansas Only DESCRIPTION OF FIRM'S FOCUS Invests in a variety of enterprises with significant growth potential which are operated by exceptional management teams. Provides later stage capital for expansion acquisition or stockholder liquidity purposes. MidStates Capital, L.P. Timothy J. Keeble, Contact 7300 West 110th Street, 7th Floor Overland Park, KS 66210 Phone: (913)962-9007 Fax: (913)962-0699 Email: timk@midstatescap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Kentucky Chrysalis Ventures II, L.P. Lisa K. Aly, Contact 101 South Fifth Street, Suite 1650 Louisville, KY 40202 Phone: (502)583-7644 Fax: (502)853-7648 Email: Laly@ChrysalisVentures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Mountain Ventures, Inc. L. Ray Moncrief, President P.O. Box 1738, 362 Old Whitley Road London, KY 40743 Phone: (606)864-5175 Fax: (606)864-5194 Email: BMcDaniel@khic.org INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $250,000 TYPE OF CAPITAL PROVIDED Loan Debt Equity FUNDING STAGE REFERENCES Seed Early Expansion Later Stages INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Southeast DESCRIPTION OF FIRM'S FOCUS Prefers to invest in small manufacturing firms and service firms to be located in Eastern Kentucky. Louisiana Audubon Capital SBIC, L.P. Robert Cowin, Contact 217 N. Columbia Street Covington, LA 70433- Phone: (985)635-6004 Fax: (985)635-6011 Email: rcowin@auduboncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $2,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt and Preferred Stock FUNDING STAGE REFERENCES Expansion Later Stage MBO/LBO Acquisition INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Gulf States Region (including East Texas, Louisiana, Mississippi, Alabama, and the Florida Panhandle. DESCRIPTION OF FIRM'S FOCUS Mezzanine financing for middle market companies located throughout the Gulf States Region. Bank One Equity Investors-BIDCO, Inc. Thomas J. Adamek, President c/o Stonehenge Capital Corporation 236 Third Street Baton Rouge, LA 70801 Phone: (225)408-3255 Fax: (225)408-3090 Email: sgwhittington@stonehengecapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Subordinate Debt FUNDING STAGE REFERENCES Expansion Later Stage MBO LBO Acquisition INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES South Midwest DESCRIPTION OF FIRM'S FOCUS Jefferson Capital Partners I, L.P. William J. Harper, Contact 3501 N. Causeway Boulevard., Suite 420 Metairie, LA 70002 Phone: (504)828-2088 Fax: (504)828-2014 Email: capital@jeffcap.com; wharper@jeffcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $2,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Preferred Stock FUNDING STAGE REFERENCES Later Stage MBO/LBO Acquisition INDUSTRY PREFERENCE Low Tech Diversified GEOGRAPHIC PREFERENCES Southeastern US Texas Midwest DESCRIPTION OF FIRM'S FOCUS Subordinated debt and preferred stock investments in smaller middle market companies Maine Masthead Venture Partners Capital, L.P. Timothy Agnew, Contact 3 Canal Plaza, Suite 600 Portland, ME 04101 Phone: (207)780-0905 Fax: (207)780-0913 Email: tim@mvpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS North Atlantic SBIC IV, L.P. Kimberley A. Niles, CFO Two City Center, 5th Floor Portland, ME 04101 Phone: (207)772-4470 Fax: (207)772-3257 Email: kniles@northatlanticcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS North Atlantic Venture Fund II, L.P. David M. Coit, Manager Two City Center, 5th Floor Portland, ME 04101 Phone: (207)772-4470 Fax: (207)772-3257 Email: kniles@northatlanticcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Sub. Debt w/Equity Features Equity FUNDING STAGE REFERENCES Buy-outs Expansion Financing INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS Target established companies seeking growth through internal expansion or acquisitions. Also finance the recapitalization or ownership change of profitable, well established businesses. North Atlantic Venture Fund III, L.P. Kimberley A. Niles, CFO Two City Center, 5th Floor Portland, ME 04101 Phone: (207)772-4470 Fax: (207)772-3257 Email: kniles@northatlanticcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Sub. Debt w/Equity Features Equity FUNDING STAGE REFERENCES Expansion Financing Acquisitions Buyouts Recapitalizations Consolidations INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS Seek quality investments in privately held companies in underserved markets in the eastern US. Primary focus in New England and New York. Actively participates in financing outside these areas w/local in- vestors who share our investment interests. Maryland Allegiance Capital, L.P. Gary Dorsch 10706 Beaver Dam Road Suite 201 Cockeysville, MD 21030 Phone: (410)568-1715 Fax: (410)568-1733 Email: gdorsch@allcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Mezzanine FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Mid-Atlantic DESCRIPTION OF FIRM'S FOCUS Subordinate debt to privately held companies Legg Mason SBIC Mezzanine Fund, L.P. Andrew L. John, Contact 111 South Calvert Street Suite 1800 Baltimore, MD 21202 Phone: (443)573-3700 Fax: (443)573-3703 Email: ajohn@cscp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Patriot Capital II, L.P. Chris Royston, Contact The Latrobe Building 2 East Read Street, Suite 101 Baltimore, MD 21202 Phone: (443)573-3010 Fax: (443)573-3020 Email: croyston@patriot-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Patriot Capital, L.P. Chris M. Royston, Contact The Latrobe Building 2 East Read Street, Suite 101 Baltimore, MD 21201 Phone: (443)573-3010 Fax: (443)573-3020 Email: croyston@patriot-capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Security Financial and Investment Corp. Jim Bonfils, Manager 7720 Wisconsin Avenue, Suite 207 Bethesda, MD 20814 Phone: (301)951-4288 Fax: (301)951-4286 Email: jamesbonfils@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $25,000 Preferred Max: $150,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE REFERENCES Early Stage (One Year Op) No Start Ups INDUSTRY PREFERENCE No Specialty GEOGRAPHIC PREFERENCES 150 miles radius of DC DESCRIPTION OF FIRM'S FOCUS Loans made to going businesses in need of capital for expansion. Real estate collateral required. Spring Capital Partners II, L.P. Robert M. Stewart, Contact The Latrobe Building, 5th Floor 2 East Read Street Baltimore, MD 21202 Phone: (410)685-8000 Fax: (410)545-0015 Email: rms@springcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Spring Capital Partners, L.P. Mike Dongh, General Partner The Latrobe Building, 5th Floor 2 East Read Street Baltimore, MD 21202 Phone: (610)964-6972 Fax: (410)545-0015 Email: mailbox@springcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $4,000,000 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES Mezzanine Expansion Later Stage INDUSTRY PREFERENCE No Specialty GEOGRAPHIC PREFERENCES Mid-Atlantic DESCRIPTION OF FIRM'S FOCUS Toucan Capital Fund II, L.P. Mrs. Linda Powers 7600 Wisconsin Avenue, 7th Floor Bethesda, MD 20814 Phone: (240)497-4060 Fax: (240)497-4065 Email: info@toucancapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $4,000,000 TYPE OF CAPITAL PROVIDED Equity (Preferred Stock) Convertible Debt FUNDING STAGE REFERENCES Seed 1st Institutional Round INDUSTRY PREFERENCE Biotech Information Technology Advanced Batteries Fuel Cells NanoTechnology GEOGRAPHIC PREFERENCES East Coast DESCRIPTION OF FIRM'S FOCUS Top priorities in biotech - cell therapy, tissue engineering & RNA technologies. Top focus in information technology is security. Walker Investment Fund II SBIC, L.P. Gina Dubbe, Contact 3060 Washington Road, Suite 200 Glenwood, MD 21738 Phone: (301)854-6850 Fax: (301)854-6235 Email: gina@walkerventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $200,000 Preferred Max: $1,500,000 TYPE OF CAPITAL PROVIDED Equity Convertible Notes FUNDING STAGE REFERENCES Seed Early Stage INDUSTRY PREFERENCE Technology e-Commerce Internet Related GEOGRAPHIC PREFERENCES Maryland DC Virginia West Virginia DESCRIPTION OF FIRM'S FOCUS Focus generally in technology, e-commerce, internet related companies. Massachusetts Ascent Venture Partners II, L.P. Walter Dick, General Partner 255 State Street, 5th Floor Boston, MA 02109 Phone: (617)720-9400 Fax: (617)720-9401 Email: tscanlon@ascentvp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Equity Debt w/Equity FUNDING STAGE REFERENCES Seed Early Stage Expansion INDUSTRY PREFERENCE Network and Communication Systems Enterprise Software Medical Specialized IT Services Industrial Technology GEOGRAPHIC PREFERENCES New England DESCRIPTION OF FIRM'S FOCUS Ascent Venture Partners IV-A, L.P. Brian Girvan, Contact 255 State Street, 5th Floor Boston, MA 02109 Phone: (617)720-9400 Fax: (617)720-9401 Email: tscanlon@ascentvp.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Brook Venture Fund IIA, L.P. Andrew Clapp, Contact 301 Edgewater Place, Suite 425 Wakefield, MA 01880- Phone: (781)295-4000 Fax: (781)295-4007 Email: nm@brookventure.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Chestnut Venture Partners, L.P. David D. Croll, President 75 State Street, Suite 2500 Boston, MA 02109 Phone: (617)345-7220 Fax: (617)345-7201 Email: dcroll@mcventurepartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED Equity Debt w/Equity Features FUNDING STAGE REFERENCES Any Stage INDUSTRY PREFERENCE Media Telecommunications GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Citizens Ventures, Inc. Scott Sullivan - VP of Finance 28 State Street, 15th Floor Boston, MA 02109 Phone: (617)994-7177 Fax: (617)725-5630 Email: SCOTT@CITIZENSCAPITAL.COM INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED Subordinated Debt Equity FUNDING STAGE REFERENCES MBO Acquisition Growth INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Northeast Midwest Southeast DESCRIPTION OF FIRM'S FOCUS Draper Fisher Jurvetson New England Fund I Todd Hixon, Contact One Broadway, 14th Floor Cambridge, MA 02142 Phone: (617)758-4213 Fax: (617)758-4101 Email: todd@dfjne.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Exeter Capital Partners IV, L.P. Keith Fox, Kurt Bergquist, Jeff Weber One Liberty Square, 12th Floor Boston, MA 02109 Phone: (617)224-0100 Fax: (617)892-4311 Email: Keith.Fox@exeterfunds.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Equity Investments FUNDING STAGE REFERENCES Development - 10% to 20% Expansion - 20% to50% Later stage - 35% to 65% INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Gemini Investors III, L.P. David F. Millet, Contact 20 William Street Wellesley, MA 02481 Phone: (781)237-7001 Fax: (781)237-7233 Email: mkeis@gemini-investors.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Gemini Investors IV, L.P. Matt Keis, Contact 20 William Street, Suite 250 Wellesley, MA 02481 Phone: (781)237-7001 Fax: (781)237-7233 Email: mkeis@gemini-investors.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS GMN Investors II, L.P. James J. Goodman, Manager 20 William Street, Suite 250 Wellesley, MA 02481 Phone: (781)237-7001 Fax: (781)237-7233 Email: dmillet@gemini-investors.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Focus is on later stage expansion and acquisition capital for middle-market companies with revenues between $5 and $50 million. Ironwood Equity Fund LP 18 Tremont St., Suite 1120 Boston, MA 02108 Phone: (617)723-6747 Fax: (617)723-6746 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Longworth Venture Partners II-A, L.P. Paul A. Margolis, Contact 1050 Winter Street, Suite 2600 Waltham, MA 02451 Phone: (781)663-3600 Fax: (781)663-3619 Email: lawrence@longworth.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Masthead Venture Partners Capital, L.P. 55 Cambridge Parkway Suite 103 Cambridge, MA 02142- Phone: (617)621-3000 Fax: (617)621-3055 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS North Hill Ventures II, L.P. Brett Rome, Contact Ten Post Office Square, Suite 1100 Boston, MA 02109 Phone: (617)788-2150 Fax: (617)788-2152 Email: brettj.rome@capitalone.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS RockPort Capital Partners, L.P. Bettina Metais, Contact 160 Federal Street, 18th Floor Boston, MA 02110 Phone: (617)912-1420 Fax: (617)912-1449 Email: bmetais@rockportcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Debt w/Equity FUNDING STAGE REFERENCES Early Stage Expansion INDUSTRY PREFERENCE Energy Technologies Environmental Technologies Advanced Materials & Processes GEOGRAPHIC PREFERENCES New England DESCRIPTION OF FIRM'S FOCUS Invests in leading-edge technology with the potential to significantly impact industries superior management team; large markets with high growth rate; and sustainable competitive advantages. Seacoast Capital Partners II, L.P. Walt Leonard, Contact 55 Ferncroft Road Danvers, MA 01923 Phone: (978)750-1300 Fax: (978)750-1301 Email: wleon@seacoastcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS SEED Ventures, L.P. Thomas Wooters, Contact 80 Dean Street Taunton, MA 02780 Phone: (508)822-1020 Fax: (508)880-7869 Email: tom@seedvf.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Summer Street Capital Fund I, L.P. Richard Steele 171 Dwight Rd. Suite 310 Longmeadow, MA 01106- Phone: (413)567-3366 Fax: (413)567-6556 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Ticonderoga SBIC, L.P. Craig A.T. Jones, Contact 230 Third Avenue Waltham, MA 02451 Phone: (781)416-3400 Fax: (781)416-9868 Email: cjones@ticonderogacap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Velocity Equity Partners I SBIC, L.P. David Vogel, Contact 121 High Street Boston, MA 02110 Phone: (617)338-2545 Fax: (617)261-3864 Email: jvogel@velocityep.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Venture Capital Fund of New England IV, L.P Kevin J. Dougherty, Contact 30 Washington Street Wellesley Hills, MA 02481 Phone: (781)431-8400 Fax: (781)237-6578 Email: kdougherty@vcfne.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Michigan Dearborn Capital Corp. (SSBIC) Michael Kehres, Asst Treasurer,Secretary c/o Ford Motor Credit Corporation The American Road Dearborn, MI 48121 Phone: (313)337-8577 Fax: (313)390-3783 Email: mkehres@ford.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $250,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE REFERENCES Expansion Later Stage LBO Acquisition INDUSTRY PREFERENCE Automotive GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Provides financial and management assistance to minority-owned businesses that are suppliers of Ford Motor Company. EDF Ventures II, L.P. Mary Campbell, Contact 425 North Main Street Ann Arbor, MI 48104-1147 Phone: (734)663-3213 Fax: (734)663-7358 Email: fingerle@edfvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS North Coast Technology Investor, L.P. Hugo E. Braun III, Lindsay D. Aspegren 206 S. Fifth Avenue Suite 550 Ann Arbor, MI 48104-0648 Phone: (734)662-7667 Fax: (734)662-6261 Email: hugo@northcoastvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Minnesota AAVIN Equity Partners I, L.P. Daryl Erdman 2500 Rand Tower Minneapolis, MN 55402 Phone: (602)375-9966 Fax: (319)363-9519 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Affinity Ventures III, L.P. Robin M. Dowdle, Contact 901 Marquette Avenue, Suite 2820 Minneapolis, MN 55402 Phone: (612)252-9897 Fax: (612)252-9911 Email: rdowdle@affinitycapital.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Affinity Ventures IV, L.P. Robin M. Dowdle, Contact 901 Marquette Avenue, Suite 2820 Minneapolis, MN 55402 Phone: (612)252-9900 Fax: (612)252-9911 Email: rdowdle@affinitycapital.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Agio Capital Partners I, L.P. Kenneth F. Gudorf, President & CEO 5050 Lincoln Drive, Suite 420 Edina, MN 55436 Phone: (952)938-1628 Fax: (952)933-6066 Email: Ken@Agio-Capital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Growth MBO Acquisition INDUSTRY PREFERENCE Manufacturing Distribution Services GEOGRAPHIC PREFERENCES Midwest DESCRIPTION OF FIRM'S FOCUS Private investment partnership making equity investments of up to $5.0 million in a wide variety of companies with a primary interest in management buyouts within the manufacturing, distribution, and service sectors. Bayview Capital Partners II LP Cary Musech, Contact 301 Carlson Parkway, Suite 325 Minnetonka, MN 55305 Phone: (952)345-2035 Fax: (952)345-2001 Email: cmusech@tonkabayequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Bayview Capital Partners, L.P. Cary Musech, Manager 301 Carlson Parkway, Suite 325 Minnetonka, MN 55305 Phone: (952)345-2030 Fax: (952)345-2001 Email: cmusech@tonkabayequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Convergent Capital Partners I, L.P. John Mason, Keith Bares 505 N. Highway 169 Suite 245 Minneapolis, MN 55441- Phone: (763)432-4081 Fax: (763)432-4085 Email: kbares@cvcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS GMB Mezzanine Capital, L.P. Barry Lindquist, Contact 50 South Sixth Street, Suite 1460 Minneapolis, MN 55402 Phone: (612)243-4404 Fax: (612)243-4446 Email: blindquist@gmbmezz.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Marquette Capital Fund I, L.P. Thomas Jenkins, Contact 60 South Sixth Street, Suite 3510 Minneapolis, MN 55402 Phone: (612)661-3990 Fax: (612)661-3999 Email: tom.jenkins@marquette.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Medallion Capital, Inc. Paul Meyering, President 3000 W. County Road 42, Suite 301 Burnsville, MN 55337-4827 Phone: (952)831-2025 Fax: (952)831-2945 Email: mvannelli@medallioncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Senior Debt Subordinated Debt FUNDING STAGE REFERENCES Acquisition MBO Later Stage Bridge Loans INDUSTRY PREFERENCE Communications Technology Manufacturing Services GEOGRAPHIC PREFERENCES Midwest National DESCRIPTION OF FIRM'S FOCUS Milestone Growth Fund, Inc. Richard Venegar, President and CEO 527 Marquette Avenue, Suite 1915 Minneapolis, MN 55402- Phone: (612)338-0090 Fax: (612)338-1172 Email: dlindorfer@milestonegrowth.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $300,000 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Loans Loans w/Warrants FUNDING STAGE REFERENCES Expansion Early Stage Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Minnesota DESCRIPTION OF FIRM'S FOCUS To provide long-term, high-risk financing to minority-owned businesses. Will participate in National deals. Mississippi CapSource 2000 Fund, L.P. James R. Herndon, Contact 795 Woodlands Parkway, Suite 100 Ridgeland, MS 39157 Phone: (601)899-8980 Fax: (601)952-1334 Email: capsources@capsources.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Sun-Delta Capital Access Center, Inc. (SSBIC) Cindy Ayers-Elliott, President 819 Main Street Greenville, MS 38701 Phone: (662)335-5291 Fax: (662)335-5295 Email: jtaylor@deltadf.org INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $25,000 Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loan, Debt Equity Subordinated Debt FUNDING STAGE REFERENCES Seed Early Stage Acquisition, MBO Expansion Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National Mississippi DESCRIPTION OF FIRM'S FOCUS Focuses on a national marketing effort, in addition to raising additional dollars. Missouri American Century Ventures II, L.L.C. Mark Hyde, Contact 4500 Main Street Kansas City, MO 64111 Phone: (816)340-7269 Fax: (816)340-7125 Email: mark_hyde@americancentury.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS BOME Investors II, L.L.C. Shelley Whittington, Thomas Adamek c/o Gateway Capco II, LLC 8000 Maryland Avenue, Suite 330 Saint Louis, MO 63105 Phone: (314)721-5707 Fax: (314)721-5135 Email: mconley@tworiversassociates.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS BOME Investors III, LLC Shelley G. Whittington, Contact c/o Gateway Capco II, LLC 8000 Maryland Avenue, Suite 330 Saint Louis, MO 63105 Phone: (314)721-5707 Fax: (314)721-5135 Email: mconley@tworiversassociates.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS BOME Investors, Inc. Gregory R. Johnson & John McCarthy, Mgrs c/o Gateway Capco II, LLC 8000 Maryland Avenue, Suite 330 Saint Louis, MO 63105 Phone: (314)721-5707 Fax: (314)721-5135 Email: mconley@tworiversassociates.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS C3 Capital Partners II, L.P. Patrick F. Healy, Contact 4520 Main Street, Suite 1600 Kansas City, MO 64111-7700 Phone: (816)756-2225 Fax: (816)756-5552 Email: phealy@C3cap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS C3 Capital Partners, LP Patrick F. Healy and Mikala January 4520 Main Street, Suite 1600 Kansas City, MO 64111 Phone: (816)756-2225 Fax: (816)756-5552 Email: phealy@C3cap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS CFB Venture Fund II, LP James F. O'Donnell, Chairman 11 South Meramec, Suite 1430 Saint Louis, MO 63105 Phone: (314)746-7427 Fax: (314)746-8739 Email: Bill.Witzofsky@capitalforbusiness.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Debt w/Warrants Preferred Stock FUNDING STAGE REFERENCES Expansion Later Stage MBO LBO Acquisition INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Midwest DESCRIPTION OF FIRM'S FOCUS CFB Venture Fund L.P. James F. O'Donnell, Chairman 11 South Meramec, Suite 1430 Saint Louis, MO 63105 Phone: (314)746-7427 Fax: (314)746-8739 Email: Bill.Witzofsky@capitalforbusiness.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS FULLY INVESTED CFB Venture Fund L.P. Greg L. Gaeddert 1000 Walnut, 18th Floor Kansas City, MO 64106 Phone: (816)234-2357 Fax: (816)234-2952 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Eagle Fund I, L.P. Scott Fesler, Principal 101 S. Hanley Road, Suite 1250 St. Louis, MO 63105 Phone: (314)727-4555 Fax: (314)727-8829 Email: bmg@bushodonnell.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Eagle Fund II, L.P. Scott Fesler, Principal 101 S. Hanley Road, Suite 1250 St. Louis, MO 63105 Phone: (314)727-4555 Fax: (314)727-8829 Email: sdf@bushodonnell.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS RiverVest Venture Fund I, L.P. Thomas C. Melzer, Contact 7733 Forsyth Boulevard, Suite 1650 Saint Louis, MO 63105 Phone: (314)726-6700 Fax: (314)726-6715 Email: mslavich@rivervest.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS UMB Capital Corporation, Inc. Christian P. Roth, Manager 1010 Grand Boulevard Mail Stop 1020204 Kansas City, MO 64106- Phone: (816)860-4871 Fax: (816)860-7143 Email: christian.roth@umb.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Loans Equity Debt w/Equity FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE Manufacturing GEOGRAPHIC PREFERENCES Midwest DESCRIPTION OF FIRM'S FOCUS Montana Glacier Venture Fund Limited Partnership Jon Marchi, Contact 40 West 14th Street, Suite 4B Helena, MT 59624 Phone: (406)443-2160 Fax: (406)443-2161 Email: jonmarchi@marchiangus.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Nevada Atalanta Investment Company, Inc. L. Mark Newman, Chairman of the Board 601 Fairview Boulevard P.O. Box 7718 Incline Village, NV 89452 Phone: (775)833-1836 Fax: (775)833-1890 Email: mark@marknewman.net INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $2,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Expansion Later Stage INDUSTRY PREFERENCE Technology GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS New Hampshire MB Growth Partners II, L.P. Jeffrey M. Pollock, Contact 66 Hanover Street Manchester, NH 03101 Phone: (603)623-5500 Fax: (603)623-3972 Email: jmpollock@merchantbanc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS MerchantBanc Venture Partners, L.P. Jeffrey M. Pollock 66 Hanover Street Suite 303 Manchester, NH 03101 Phone: (603)623-5500 Fax: (603)623-3972 Email: jrgill@merchantbanc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS New Jersey Alliance Mezzanine Investors, L.P. Robert Eberhardt, Douglas Smith 96 Pompton Road Verona, NJ 07044 Phone: (973)239-8900 Fax: (973)239-8909 Email: rwe@mezcap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,500,000 Preferred Max: $2,500,000 TYPE OF CAPITAL PROVIDED Subordinated Debt w/Warrants Equity FUNDING STAGE REFERENCES Later Stage Only Include Expansion Growth Capital LBO, MBO, Recaps Acquisitions INDUSTRY PREFERENCE Diversified Manufacturing Distribution Services GEOGRAPHIC PREFERENCES New Jersey Pennsylvania New York New England Mid-Atlantic(co-investrs) DESCRIPTION OF FIRM'S FOCUS Funding for expansion, acquisition, buyout or recap of profitable later-stage companies Contemporary Healthcare Fund I, LP Eric Smith, Contact 1040 Broad Street, Suite 3B Shrewsbury, NJ 07702 Phone: (732)578-0533 Fax: (732)578-0501 Email: esmith@contemporarycapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS DFW Capital Partners, L.P. Donald F. DeMuth, Manager Glenpointe Centre East, 5th Floor 300 Frank W. Burr Boulevard Teaneck, NJ 07666 Phone: (201)836-2233 Fax: (201)836-5666 Email: DFDemuth@DFWCapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $4,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Early thru Later Stage MBO Consolidations Recapitalizations INDUSTRY PREFERENCE Manufacturing Health Care Services - Business Services - Consumer Information Technology GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Provides direct private equity capital for high growth, market niche companies with revenues between $5 and $100 million Typically an active investor and is represented on the Board of Directors. Edison Fund V, L.P. Ross Martinson, Contact 1009 Lenox Drive, #4 Lawrenceville, NJ 08648 Phone: (609)873-9202 Fax: (609)896-0066 Email: gayle@edisonventure.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Equity oriented instruments FUNDING STAGE REFERENCES Expansion Stage INDUSTRY PREFERENCE Initial investment: $2 million to $6 million GEOGRAPHIC PREFERENCES New Jersey, Pennsylvania, Delaware, Maryland, Virginia DESCRIPTION OF FIRM'S FOCUS Technology - software, communications, computer services Edison Venture Fund IV SBIC, L.P. Ross Martinson, Contact 1009 Lenox Drive, #4 Lawrenceville, NJ 08648 Phone: (609)873-9202 Fax: (609)896-0066 Email: rmartinson@edisonventure.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Only FUNDING STAGE REFERENCES Expansion INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Mid-Atlantic: New Jersey, Pennsylvania, Delaware, Maryland, Virginia DESCRIPTION OF FIRM'S FOCUS Information Technology: software, services, communication, internet, electronics Hanam Capital Corp. Robert Schairer, President 605 Broad Avenue, Suite 202 Ridgefield,, NJ 07657- Phone: (201)943-4400 Fax: (201)943-4406 Email: hanam@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $50,000 Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Early Stage Expansion Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS MidMark Capital II, L.P. Wayne L. Clevenger, Contact 177 Madison Avenue Morristown, NJ 07960 Phone: (973)971-9960 Fax: (973)971-9963 Email: mfinlay@midmarkcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $8,000,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED Equity Only FUNDING STAGE REFERENCES INDUSTRY PREFERENCE No High-Tech, Real Estate No Oil & Gas GEOGRAPHIC PREFERENCES East of Mississippi DESCRIPTION OF FIRM'S FOCUS Navigator Growth Partners, L.P. Bernard B. Markey, Contact P.O. Box 159 Summit, NJ 07902 Phone: (908)273-7733 Fax: (908)273-5566 Email: bbmarkey@navigatorequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Later stage, recapitalizations, and buyouts INDUSTRY PREFERENCE Services, publishing, and specialty manufacturing GEOGRAPHIC PREFERENCES Mid-Atlantic & Northeast but will look anywhere DESCRIPTION OF FIRM'S FOCUS We partner with strong, experienced management to build profitable, growing companies that are leaders in their industry Navigator's equity supports long-term growth plans, often coupled with change of control. NJTC Venture Fund SBIC, L.P. 4 Becker Farm Road Roseland, NJ 07068 Phone: (973)994-0606 Fax: (973)992-6336 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS NJTC Venture Fund SBIC, L.P. James T. Gunton, Contact 1001 Briggs Road, Suite 280 Mount Laurel, NJ 08054 Phone: (856)273-6800 Fax: (856)273-0990 Email: jim@njtcvc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Sycamore Venture Capital, L.P. John Whitman 845 Alexander Road Princeton, NJ 08540 Phone: (609)759-8888 Fax: (609)759-8900 Email: dlichtenstein@sycamorevc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Tappan Zee Capital Corporation Jeffrey Birnberg, President 25 Whitney Road Mahwah, NJ 07430- Phone: (201)560-1180 Fax: (201)560-1158 Email: jeff@BirnbergGroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED Loans Debt/Equity FUNDING STAGE REFERENCES Expansion Later Stage Buyouts INDUSTRY PREFERENCE Diversified Retail Manufacturing GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS University Ventures, Inc. (SSBIC) David M. Scheck - Chairman c/o New Jersey Community Capital 16-18 West Lafayette Street Trenton, NJ 08608- Phone: (609)989-7766 Fax: (609)393-9401 Email: dscheck@njclf.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $150,000 TYPE OF CAPITAL PROVIDED Loans w/Equity Features FUNDING STAGE REFERENCES Early Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Northeast DESCRIPTION OF FIRM'S FOCUS Ziegler Healthcare Fund I, L.P. Douglas Korey, Contact Executive Center #2, Third Floor 1040 Broad Street Shrewsbury, NJ 07702 Phone: (732)578-0533 Fax: (732)578-0501 Email: esmith@contemporarycapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Zon Capital Partners, L.P. William D. Bridgers, Contact 5 Vaughn Drive, Suite 302 Princeton, NJ 08540 Phone: (609)452-1653 Fax: (609)452-1693 Email: valbruder@zoncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS New York Accretive Investors SBIC, L.P. J. Michael Cline, Contact 51 Madison Avenue, 31st Floor New York, NY 10010 Phone: (646)282-1920 Fax: (646)282-3138 Email: MSlodowitz@accretivellc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,500,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES Seed and Growth INDUSTRY PREFERENCE Software Business Process Outsourcing and IT Enable Services. GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Accretive is focused on building leaders in business-to-business software, IT-enabled business services, and process outsourcing. These areas continue to address real business problems, have tremendous opport. for growth and value. ACI Capital America Fund, L.P. Kevin Penn, Thomas Israel, Jim Mattutat 12 East 49th Street, 27th Floor New York, NY 10017- Phone: (212)634-3333 Fax: (212)634-3330 Email: jemattutat@acicapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS AEA Investors Small Business Fund LP John F. Cozzi, Contact 55 East 52nd Street, 35th Floor New York, NY 10055- Phone: (212)702-0504 Fax: (212)702-0550 Email: jcozzi@aeainvestors.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Argentum Capital Partners II, L.P. Daniel Raynor, Chairman 60 Madison Avenue, Suite 701 New York, NY 10110 Phone: (212)949-6262 Fax: (212)949-8294 Email: sdberman@argentumgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED Equity Debt FUNDING STAGE REFERENCES Later Stage Acquisitions MBO INDUSTRY PREFERENCE Healthcare Information Waste Management Software Communications General GEOGRAPHIC PREFERENCES East Coast National DESCRIPTION OF FIRM'S FOCUS investments in later stage growth companies for expansion, acquisitions, recapitalizations and management buyouts. Specializes in equity and mezzanine Argentum Capital Partners, LP Daniel Raynor, Chairman 60 Madison Avenue, Suite 701 New York, NY 10110 Phone: (212)949-8272 Fax: (212)949-8294 Email: sdberman@argentumgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Mezzanine FUNDING STAGE REFERENCES Expansion Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS BMO Capital Markets Equity Investments (US) Peter Hurwitz - Managing Director 3 Times Square 28th. Floor New York, NY 10036- Phone: (212)605-1687 Fax: (212)765-8000 Email: helen.schubbe@bmonb.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $7,000,000 Preferred Max: $12,000,000 TYPE OF CAPITAL PROVIDED No Start-Ups Min Revenue $20K FUNDING STAGE REFERENCES Acquisition Mezzanine Buyouts Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Invest in companies with established mgt. teams and stable cash flows. Will consider investments in turnaround situations and later stage growth capital. No start-ups, minimum revenue $20 million. BNY Capital Partners, L.P. Stratton Heath, Paul Echausse 200 Park Avenue 55th Floor New York, NY 10166- Phone: (212)922-8195 Fax: (212)922-6585 Email: pechausse@bankofny.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS BOCNY, LLC W. Stephen Keller c/o Stonehenge Capital Corporation 152 West 57th Street, 20th Floor New York, NY 10019 Phone: (212)944-2542 Fax: (212)656-1344 Email: adkocen@stonehengecapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Brookside Pecks Capital Partners, L.P. Ray Weldon 405 Park Avenue, 12th Floor New York, NY 10022- Phone: (212)935-6090 Fax: (212)759-4831 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Cephas Capital Partners L.P. Clint Campbell, Jeff Holmes, Mgrs. 57 Monroe Avenue, Suite D Pittsford, NY 14534 Phone: (585)383-1610 Fax: (585)383-1613 Email: ccampbell@cephascapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Debt Subordinated Debt Preferred Stock FUNDING STAGE REFERENCES Acquisition Growth MBO Recaptialization INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Upstate New York DESCRIPTION OF FIRM'S FOCUS Seeks to invest in established companies with experienced management teams with opportunities for growth. CIBC WMV Inc. David Shotland, Managing Director 425 Lexington Avenue, 9th Floor New York, NY 10017 Phone: (212)856-4072 Fax: (212)697-1544 Email: David.Shotland@US.CIBC.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Citicorp Venture Capital, Ltd. Meghan Fogarty 399 Park Avenue, 14th Floor/Zone 4 New York, NY 10043 Phone: (212)783-1233 Fax: (212)793-9200 Email: meghan.fogarty@citi.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE REFERENCES MBO INDUSTRY PREFERENCE Industrial Manufacturing Distribution No High Tech GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Critical Capital Growth Fund, L.P. Steven Sands Mgr; C. Robinson 90 Park Avenue, 31st Floor New York, NY 10016 Phone: (212)697-5200 Fax: (212)697-8035 Email: crobinson@laidlawltd.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS DeltaPoint Capital III, L.P. David H. Waterman, Managing Director 45 East Avenue 6th Floor Rochester, NY 14604 Phone: (585)454-6990 Fax: (585)454-3204 Email: dwaterman@deltapointcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS East Coast Venture Capital, Inc. (SSBIC) Fredrick Schulman, President 30 East 29th Street, Suite 204 New York, NY 10016 Phone: (212)686-1515 Fax: (212)686-1131 Email: fstart@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $50,000 Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Seed Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Regional DESCRIPTION OF FIRM'S FOCUS Easton Hunt Capital Partners, L.P. John H. Friedman, Contact 767 Third Avenue, 7th Floor New York, NY 10017 Phone: (212)702-0950 Fax: (212)702-0952 Email: schneider@eastoncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Elk Associates Funding Corporation Gary C. Granoff, President 747 Third Avenue New York, NY 10017 Phone: (212)421-2111 Fax: (212)759-3338 Email: lforlenza@elkassociates.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $300,000 TYPE OF CAPITAL PROVIDED Secured Loans Some Debt /w Equity FUNDING STAGE REFERENCES Later Stage INDUSTRY PREFERENCE Transportation Diversified GEOGRAPHIC PREFERENCES Northeast South FL Illinois DESCRIPTION OF FIRM'S FOCUS Emigrant Capital Corporation Kenneth L. Walters Jr. 6 East 43rd Street 8th Floor New York, NY 10017 Phone: (212)850-4470 Fax: (212)850-3470 Email: WaltersK@emigrant.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Empire State Capital Corporation (SSBIC) Mitzi Wu, Vice President 170 Broadway, Suite 404 New York, NY 10038 Phone: (212)513-1799 Fax: (212)513-1892 Email: ESC5131799@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Loans Equity Investments FUNDING STAGE REFERENCES Early Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Atlantic Region DESCRIPTION OF FIRM'S FOCUS Eos Partners SBIC II, L.P. Steven Friedman & Brian Young, Manager 320 Park Avenue, 22nd Floor New York, NY 10022 Phone: (212)832-5800 Fax: (212)832-5805 Email: bbernstein@eospartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Eos Partners SBIC III, L.P. Beth Bernstein, Contact 320 Park Avenue, 22nd Floor New York, NY 10022 Phone: (212)832-5800 Fax: (212)832-5815 Email: bbernstein@eospartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Eos Partners SBIC, L.P. Steven Friedman, Partner 320 Park Avenue, 22nd Floor New York, NY 10022 Phone: (212)832-5814 Fax: (212)832-5815 Email: bbernstein@eospartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Debt w/Equity FUNDING STAGE REFERENCES Early Stage Expansion Later LBO INDUSTRY PREFERENCE Telecommunications Media Health Services Business Outsourcing GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Falcon Private Equity, L.P. Gregga Baxter, Matthew Snyder, Contacts 330 Madison Avenue - 37th Floor New York, NY 10017-4627 Phone: (212)922-2333 Fax: (212)922-2351 Email: gregga.baxter@saudibank.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Fidus Mezzanine Capital, L.P. 126 E. 56th Street Suite 2120 New York, NY 10022 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Flushing Capital Corporation (SSBIC) Tetsuro Takada, President 113-19 14th Road College Point, NY 11356 Phone: (718)886-5866 Fax: (718)321-2934 Email: flushingcapital@nyc.rr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $300,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE REFERENCES Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES New York City Area DESCRIPTION OF FIRM'S FOCUS Founders Equity SBIC I, L.P. John D. White, Jr., Contact 711 Fifth Avenue, 5th Floor New York, NY 10022 Phone: (212)829-0900 Fax: (212)829-0901 Email: darton@fequity.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Freshstart Venture Capital Corporation Alvin Murstein, President 437 Madison Avenue New York, NY 10022 Phone: (212)328-2110 Fax: (212)328-2125 Email: mrusso@medallion.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $50,000 Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE REFERENCES Seed Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Regional DESCRIPTION OF FIRM'S FOCUS Fundex Capital Corp. Larry Linksman, President 50 Main Street, Suite 1000 White Plains, NY 10606 Phone: (212)884-9360 Fax: (212)884-9346 Email: L.Linksman@fundexcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt w/Equity Loans Debt FUNDING STAGE REFERENCES Early Stage Expansion INDUSTRY PREFERENCE Consumer Products Communications Medical/Health Specialty Retail Diversiifed GEOGRAPHIC PREFERENCES Tri-State (NY, NJ, CT) DESCRIPTION OF FIRM'S FOCUS Focus on good management with good products or services, with a proven track record of successful operations, or absent the above, require suitable collateralizion. Gefus SBIC, L.P. William J. Beckett 375 Park Avenue, Suite 2401 New York, NY 10152 Phone: (212)308-1111 Fax: (212)308-1182 Email: wbeckett@gefinorusa.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS High Peaks Ventures, L.P. Russell Howard, Contact 10 Second Street Troy, NY 12180 Phone: (518)720-3090 Fax: (518)720-3091 Email: russ@highpeaksventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hudson Venture Partners II, L.P. Dr. Lawrence A. Howard, Contact 535 Fifth Avenue, 14th Floor New York, NY 10017 Phone: (212)644-9797 Fax: (212)644-7430 Email: jtruehart@hudsonptr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE REFERENCES INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS