SBIC Licensees Located in Texas on November 12, 2009 BA Capital Company, L.P. Doug Williamson, Sr. Vice President 901 Main Street, 22nd Floor Dallas, TX 75202 Phone: (214)508-0900 Fax: (214)508-0985 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 Blue Sage Capital, L.P. Peter Huff, Contact 114 West 7th Street, Suite 820 Austin, TX 78701 Phone: (512)536-1900 Fax: (512)236-9215 Email: peter.huff@bluesage.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE Later stage - small- mid market. INDUSTRY PREFERENCE Revenue size: $5 mil to $100 mil $10 to $100 mil enterprise value GEOGRAPHIC PREFERENCES Texas, New Mexico, Oklaho Arkansas, Lousiana DESCRIPTION OF FIRM'S FOCUS Manufacturers, distriubtions, and services. C3 Capital Partners II, L.P. 2100 McKinney Avenue, Suite 1550 Dallas, TX 75201 Phone: (214)292-2000 Fax: (214)292-2007 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 Capital Southwest Venture Corp. Gary Martin, President 12900 Preston Road, Suite 700 Dallas, TX 75230 Phone: (972)233-8242 Fax: (972)233-7362 Email: gmartin@capitalsouthwest.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Prefer Equity-Type Investments Subordinated Debt Loans FUNDING STAGE PREFERENCE Early Expansion Later Stages MBO INDUSTRY PREFERENCE Manufacturing Retail Technology No Real Estate or Banking Medical/Health GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS To achieve capital appreciation through long-term investments in businesses given the capital provided by our investment believed to have favorable growth potential. Catalyst Fund, Ltd. (The) Richard L. Herrman, Manager P.O. Box 2156 Fort Davis, TX 79734- Phone: (713)623-8133 Fax: (713)623-0473 Email: rherrman@catalysthall.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $2,500,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Equity FUNDING STAGE PREFERENCE Acquisition MBO Second Stage Third Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Expansion or transaction financing to companies with revenues greater than $5 million and profitable. Working with affiliates, fundings up to $10 million available. Catalyst/Amegy Mezzanine Capital, L.P. Ronald Nixon and Richard Herrman, Mgrs. P.O. Box 2156 Fort Davis, TX 79734- Phone: (713)623-8133 Fax: (713)623-0473 Email: rherrman@catalysthall.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 Acquisition MBO Second Stage Third Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Expansion or transaction financing to companies with revenues greater than $5 million and profitable. Working with affiliates, fundings up to $10 million available. First Capital Group of Texas III, L.P. Jeffrey P. Blanchard, Contact 750 E. Mulberry, Suite 305 San Antonio, TX 78212 Phone: (210)736-4233 Fax: (210)736-5449 Email: jpblanchard@firstcapitalgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,500,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE Early stage - IRR 50%,75% Expansion stage-IRR 35% Management buyout INDUSTRY PREFERENCE Early stage - $1.5 mil to $2.5 mil Expansion - $3 mil to 4.5 mil Management buyouts - $3 mil to $5 mil GEOGRAPHIC PREFERENCES Texas, and southwest. DESCRIPTION OF FIRM'S FOCUS small an middle market companies Independent Bankers Capital Fund, L.P. Barry Conrad, Tom Hoyt, Contacts 1700 Pacific Avenue Suite 2740 Dallas, TX 75201 Phone: (214)765-1350 Fax: (214)765-1360 Email: mtaylor@independentbankerscap.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $3,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE PREFERENCE Expansion Later Stage INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Texas Southwest DESCRIPTION OF FIRM'S FOCUS Jardine Capital Corp. Lawrence Wong, President 4610 Riverstone Boulevard Missouri City, TX 77459 Phone: (713)271-7077 Fax: (713)271-7577 Email: lklwong@yahoo.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $260,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE PREFERENCE Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES North South DESCRIPTION OF FIRM'S FOCUS Main Street Capital II, LP Todd Reppert, Contact 1300 Post Oak Boulevard, Suite 800 Houston, TX 77056 Phone: (713)350-6029 Fax: (713)350-6042 Email: RStout@MainStCapital.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 Main Street Mezzanine Fund, L.P. Todd A. Reppert, Contact 1300 Post Oak Boulevard, Suite 800 Houston, TX 77056 Phone: (713)350-6029 Fax: (713)350-6042 Email: RStout@MainStCapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE PREFERENCE Expansion Buyout Recapitalization INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Southwest, Gulf Coast DESCRIPTION OF FIRM'S FOCUS Expansion or Transaction Financing North Texas MESBIC, Inc. (SSBIC) Allan Lee, President 4563 W. Walnut Street Suite 200 Garland, TX 75042-5143 Phone: (972)272-0388 Fax: (972)272-0988 Email: NTM168@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $150,000 Preferred Max: $250,000 TYPE OF CAPITAL PROVIDED Loans FUNDING STAGE PREFERENCE Early Stage Expansion INDUSTRY PREFERENCE Retail Wholesalers Distributors GEOGRAPHIC PREFERENCES State of Texas DESCRIPTION OF FIRM'S FOCUS Pacesetter SBIC Fund, Inc. Donald Lawhorne 2435 North Central Expressway Suite 200 Richardson, TX 75080 Phone: (972)991-1597 Fax: (972)991-4770 Email: info@mvhc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Sub. Debt w/Warrants FUNDING STAGE PREFERENCE Early Stage Expansion Acquisition INDUSTRY PREFERENCE Manufacturing Wholesale Distribution Franchise Services Diversified GEOGRAPHIC PREFERENCES Southeast Mid-Atlantic DESCRIPTION OF FIRM'S FOCUS To provide long-term venture capital to well-managed growing businesses owned and managed by minority entrepreneurs. PMC Investment Corporation (SSBIC) Lance B. Rosemore, President 17950 Preston Road Suite 600 Dallas, TX 75252 Phone: (972)349-3200 Fax: (972)349-3265 Email: b.berlin@pmctrust.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $1,500,000 TYPE OF CAPITAL PROVIDED Secure Lender FUNDING STAGE PREFERENCE All Stages including Start-Ups INDUSTRY PREFERENCE Diversified Specializing in Motel & Franchise GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Stratford Equity Partners, L.P. David Knickel, Manager 200 Crescent Court, Suite 1600 Dallas, TX 75201 Phone: (214)740-7300 Fax: (214)720-7888 Email: lthompson@hmcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $9,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt Preferred Stock Common Stock FUNDING STAGE PREFERENCE Acquisition Second Stage Expansion MBO INDUSTRY PREFERENCE Manufacturing Distribution Business Services Diversified GEOGRAPHIC PREFERENCES Continental USA DESCRIPTION OF FIRM'S FOCUS Provide later stage growth and acquisition capital to middle market companies primarily in the manufacturing, distribution, and service industries throughout the United States. SunTx Fulcrum Fund II - SBIC, L.P. Ned N. Fleming, Contact Two Lincoln Centre 5420 LBJ Freeway, Suite 1000 Dallas, TX 75240 Phone: (972)663-8900 Fax: (972)661-9981 Email: tkelly@suntx.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED Equity Capital Investments FUNDING STAGE PREFERENCE 30% - development stage 30% - growth stage 30% - expansion stage 10% - turnaround stage INDUSTRY PREFERENCE $3 million to $6 million GEOGRAPHIC PREFERENCES Sunbelt region - Alabama, Arkansas, Arizona, Florid Georgia, Kentucky, Louisi New Mexico, etc. DESCRIPTION OF FIRM'S FOCUS manufacturing, distribution and services Toronto Dominion Capital (U.S.A.), Inc. Martha L. Gariepy, Vice President TD Capital (USA), Inc. 909 Fannin , Suite 1950 Houston, TX 77010 Phone: (713)653-8225 Fax: (713)652-2647 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 Toronto Dominion Capital (U.S.A.), Inc. Martha Gariepy, Contact 909 Fannin, Suite 1950 Houston, TX 77010 Fax: (713)652-2647 Email: Martha.Gariepy@TDCapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED Equity Subordinated Debt Debt FUNDING STAGE PREFERENCE Expansion Later Stage MBO Acquisitions INDUSTRY PREFERENCE Telecommunications Healthcare Energy Forest Products Media GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Extensive experience in the media and communications industries complemented by the knowledge base and resources of other industry groups such as healthcare, energy, and forest products. Western Financial Capital Corporation Lance B. Rosemore, President 17950 Preston Road Suite 600 Dallas, TX 75252 Phone: (972)349-3200 Fax: (972)349-3265 Email: b.berlin@pmctrust.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Secure Lender FUNDING STAGE PREFERENCE All Stages including Start-Ups INDUSTRY PREFERENCE Diversified Specializing in Motel & Franchise GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS