SBIC Licensees Located in Connecticut on August 5, 2008 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 PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE 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 PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS