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The Small Business Investment Company (SBIC) Program works with private investment funds licensed as SBICs to provide growth capital to U.S. small businesses. Although SBICs regulated by SBA, they are private, profit-seeking investment companies that make independent investment decisions. This directory will provide you with the contact information needed to learn more about the SBIC Licensees in your state.

Explanation of Directory Information

Details on each SBIC listed below include the following information:

Preferred Investment Size: The amount the SBIC is willing to invest or loan.

Investment Policy: The type of investment the SBIC is willing to make (for example, loans, equity or debt with equity features).

Investment Type: The various stages of financing that the SBIC is willing to fund (for example, seed, start-up, early stage, expansion financing, later stage financing, or managed buyout, leveraged buyout or acquisition).

Industry Preference: Type of industry or industries the SBIC is interested in financing. Usually based on the knowledge and experience of the SBIC's management.

Geographic Preference: The area of the United States where the SBIC prefers to make financing.

Regulatory Capital: A Licensee's private paid-in capital and surplus or private partners' contributed capital (excluding non-cash contributions), plus unfunded binding commitments from institutional investors.

Leverage from SBA: A Licensee's outstanding debentures, participating securities or preferred stock guaranteed or purchased by SBA.

Capital Resources: The sum of a Licensee's regulatory capital and leverage from SBA.

SBIC Licenses by State

Alabama
Alaska
American Samoa
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
District of Columbia
Florida

Georgia
Guam
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine

Maryland
Massachusetts
Michigan
Minnesota
Mississippi
Missouri
Montana
Nebraska
Nevada
New Hampshire
New Jersey

New Mexico
New York
North Carolina
North Dakota
Northern Marianas Islands
Ohio
Oklahoma
Oregon
Pennsylvania
Puerto Rico
Rhode Island

South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Virgin Islands
Washington
West Virginia
Wyoming
Wisconsin

 

 

All SBIC Licensees on June 5, 2014

    

Alaska

SBIC Licensees Located in Alaska on July 10, 2014

   

   

There are no SBIC Licensees currently located in Alaska

Alabama

SBIC Licensees Located in Alabama on July 10, 2014

   

Harbert Mezzanine Partners II SBIC, L.P.

         

      Andy Tatman, Contact

      2100 Third Avenue North, Suite 600

      Birmingham, AL  35203

      Phone:      (615)301-6396     Fax:  (615)301-6401

      Email:      abrown@harbert.net

         

      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

         

Hickory Venture Capital Corporation

         

      301 Washington Street, NW

      Suite 100

      Huntsville, AL  35801

         

      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

         

All SBIC Licensees on July 10, 2014

 

 

Alabama

   

Harbert Mezzanine Partners II SBIC, L.P.

         

      Andy Tatman, Contact

      2100 Third Avenue North, Suite 600

      Birmingham, AL  35203

      Phone:      (615)301-6396     Fax:  (615)301-6401

      Email:      abrown@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

         

      301 Washington Street, NW

      Suite 100

      Huntsville, AL  35801

         

      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

         

 

Arizona

   

Grayhawk Venture Fund I, L.P.

         

      Sherman Chu, Contact

      5050 N 40th Street, Suite 380

      Phoenix, AZ  85018

      Phone:      (602)956-8700     Fax:  (602)956-8080

      Email:      schu@grayhawkcapital.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

         

Grayhawk Venture Fund II, L.P.

         

      Sherman Chu

      5050 N 40th St., Ste 380

      Phoenix, AZ  85018-

      Phone:      (602)956-8700     Fax:  (602)956-8080

      Email:      schu@grayhawkcapital.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

         

 

Trinity Capital Fund II, L.P.

         

      Steven L. Brown

      2121 Chandler Blvd., Suite 103

      Chandler, AZ  85224

      Phone:      (480)374-5350     Fax:  (480)247-5099

      Email:      sbic@trincapinvestment.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

         

 

Arkansas

   

Diamond State Ventures II, L.P.

         

      Joe T. Hays, Managing Director

      200 River Market Avenue

      Suite 400

      Little Rock, AR  72201

      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

         

Diamond State Ventures III, L.P.

         

      Joe T. Hays, Managing Director

      200 River Market Avenue

      Suite 400

      Little Rock, AR  72201

      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

         

 

California

   

Alpine Investors IV SBIC, LP

         

      Tara Baker, Contact

      3 Embarcadero Center, Suite 2330

      San Francisco, CA  94111

      Phone:      (415)591-1323     Fax:  (415)392-9101

      Email:      tbaker@alpine-investors.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $10,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE REFERENCES

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Avante Mezzanine Partners SBIC, L.P.

         

      Clifford A. Lyon, Contact

      11150 Santa Monica Blvd., Suite 1470

      Los Angeles, CA  90025

      Phone:      (310)667-9242     Fax:  (310)728-1755

      Email:      clyon@avantemezzanine.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $6,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt 87%;

      Equity 13%,

         

      FUNDING STAGE REFERENCES

      Change of control 50%

      Later Sage 40%;

      Expansion 10%

         

      INDUSTRY PREFERENCE

      Services 45%; Technology 5%;

      Life Science 5%;Manufacturing 10%;

      Mark Spellman

         

      GEOGRAPHIC PREFERENCES

      California 50%

      other Western U.S. 50%

         

      DESCRIPTION OF FIRM'S FOCUS

      2 tiers of debenture leverage

         

 

Celerity Partners SBIC, L.P.

         

      Clifford A. Lyon, Contact

      11150 Santa Monica Boulevard, Suite 1470

      Los Angeles, CA  90025

      Fax:  (310)728-1755

      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

         

Central Valley Fund II (SBIC), LP (The)

         

      Edward F. McNulty

      1590 Drew Avenue, Suite 110

      Davis, CA  95618

      Phone:      (530)757-7004     Fax:  (530)757-1316

      Email:      emcnulty@centralvalleyfund.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 II, L.P.

         

      Dennis M. Leary, Contact

      One Post Street

      Suite 925

      San Francisco, CA  94104

      Phone:      (415)288-4181     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

         

Champlain Capital Partners, L.P.

         

      Dennis M. Leary, Contact

      One Post Street

      Suite 925

      San Francisco, CA  94104

      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

         

 

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@emcap.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

         

Hercules Technology II, L.P.

         

      Dorian Momsen, Contact

      400 Hamilton Avenue, Suite 310

      Palo Alto, CA  94301

      Phone:      (650)289-3072     Fax:  (650)473-9194

      Email:      dmomsen@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

         

 

Hercules Technology III, LP

         

      Dorian Momsen, Contact

      400 Hamilton Avenue, Suite 310

      Palo Alto, CA  94301

      Phone:      (650)289-3072     Fax:  (650)473-9194

      Email:      dmomsen@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

         

Invision Capital I, L.P.

         

      26 Orange Blossom Circle, Suite 10

      Ladera Ranch, CA  92694

         

      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

         

 

Labrador Ventures V-B, L.P.

         

      Sean Foote, Contact

      535 Middlefield Road, Suite 190

      Menlo Park, CA  94025

      Phone:      (650)366-6000     Fax:  (650)366-6430

      Email:      lkubal@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

         

Levine Leichtman Capital Partners SBIC Fund, L.P.

         

      Steven E. Hartman, Contact

      335 North Maple Drive, Suite 130

      Beverly Hills, CA  90210

      Phone:      (310)275-5335     Fax:  (310)275-335

      Email:      shartman@llcp.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

         

 

Multiplier Capital, LP

         

      Ray Boone

      815 Moraga Drive

      Los Angeles, CA  90049-

         

      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

         

Pivotal Capital Fund, LP

         

      Renee Baker

      2882 Sand Hill Road, Suite 100

      Menlo Park, CA  94025

      Phone:      (650)233-5402     Fax:  (650)299-9494

      Email:      renee@pivotalcp.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

      2440 Sand Hill Road, Suite 100

      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

         

Shepherd Ventures II, L.P.

         

      George C. Kenney, Contact

      11696 Sorrento Valley Road, Suite 203

      San Diego, CA  92121

      Phone:      (858)509-4744     Fax:  (858)509-3662

      Email:      tom@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

         

 

Silver Lake Waterman Fund, L.P.

         

      Thomas Conneely, VP Operations

      2775 Sand Hill Road

      Suite 100

      Menlo Park, CA  94025

      Phone:      (415)525-8705     Fax:  (415)293-4365

      Email:      Tom.Conneely@SilverLake.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

         

TCPC SBIC, LP

         

      Rajneesh Vig

      2051 28th Street, Suite 1000

      Santa Monica, CA  90405

      Phone:      (310)566-1041     Fax:  (310)899-4950

      Email:      Raj.Vig@TennenbaumCapital.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:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Equity capital

         

      FUNDING STAGE REFERENCES

      Companies are already

      commercial with revenues

      Capital to be used for

      growth.

         

      INDUSTRY PREFERENCE

      Life sciences, healthcare,

      medical devices, diagnostics,

      chemistries, healthcare IT,

      animal health, plant science

         

      GEOGRAPHIC PREFERENCES

      Throughout U.S.

         

      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 if not already

      profitable.

         

 

Ticonderoga SBIC, L.P.

         

      258 Hamilton Avenue, 3rd Floor

      Palo Alto, CA  94301

         

      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

         

Tregaron Opportunity Fund I, L.P.

         

      Todd Collins, Contact

      300 Hamilton Ave., 4th Floor

      Palo Alto, CA  94301

      Phone:      (650)403-2084     Fax:  (650)618-2550

      Email:      collins@tregaroncapital.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

         

 

Walden Venture Capital VIII SBIC, L.P.

         

      Art Berliner

      750 Battery Street, 7th Floor

      San Francisco, CA  94111

      Phone:      (415)273-4242     Fax:  (415)391-7262

      Email:      art@waldenvc.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

   

Balance Point Capital Partners, L.P.

         

      Seth W. Alvord, Contact

      8 Church Lane, Suite 200

      Westport, CT  06880

      Phone:      (203)652-8260     Fax:  (203)716-9828

      Email:      salvord@balancepointcapital.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 Mezzanine Fund II, L.P.

         

      David D. Buttolph, Corey Sclar, Contact

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $4,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

         

      FUNDING STAGE REFERENCES

      Later; revenues over

      $15,000,000.

         

      INDUSTRY PREFERENCE

      None

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      The firm takes a long-term partnership based

      approach to our mezzanine investments.  We

      focus on middle market manufacturing,

      businesses services, consumer products and

      healthcare companies nationwide.

         

 

Brookside Mezzanine Fund III, L.P.

         

      David D. Buttolph

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.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

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.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.

         

 

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 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.

         

      Daniel J. O'Brien, Contact

      130 Main Street

      New Canaan, CT  06840

      Phone:      (203)716-6140     Fax:  (203)716-6206

      Email:      dobrien@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 Mezzanine Fund II LP

         

      Marc A. Reich, Contact

      45 Nod Road

      Avon, CT  06001

      Phone:      (860)409-2101     Fax:  (860)409-2120

      Email:      reich@ironwoodcap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      Preferred Stock

         

      FUNDING STAGE REFERENCES

      Later Stage

         

      INDUSTRY PREFERENCE

      Business Services

      Value-Added Manufacturing

      Environmental Services

      Recurring Rev.  Businesses

         

      GEOGRAPHIC PREFERENCES

      East  of the

      Mississippi River

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Ironwood Mezzanine Fund III-A LP

         

      Marc A. Reich, Contact

      45 Nod Road

      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

         

 

MSR I SBIC, L.P.

         

      Daniel A. Levinson

      One Morningside Drive North

      Building B, 2nd Floor

      Westport, CT  06880

      Phone:      (203)227-5320     Fax:  (203)227-5312

      Email:      mr@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,

      Massachusetts

         

      DESCRIPTION OF FIRM'S FOCUS

      value approach, no industry focus

         

 

New Canaan Funding Mezzanine V SBIC, LP

         

      Mark Thies

      21 Locust Avenue, Suite 1C

      New Canaan, CT  06840

      Phone:      (203)966-1071     Fax:  (203)966-1081

      Email:      mthies@newcanaanfunding.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

         

Southfield Mezzanine Capital LP

         

      Steven A. Axel

      53 Greenwich Avenue, 2nd Floor

      Greenwich, CT  06830

      Phone:      (203)813-4100     Fax:  (203)813-4141

      Email:      saxed@southfieldcapital.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

         

 

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

   

Innovation Ventures, L.P.

         

      David J. Freschman, Contact

      1601 Concord Pike, Suite 8284

      Wilmington, DE  19803

      Phone:      (302)777-1616     Fax:  (302)777-1620

      Email:      djf@innovationcapital.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.

   

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

         

McLarty Capital Partners SBIC, L.P.

         

      Christopher D. Smith

      900 Seventeenth Street, NW, Suite 800

      Washington, DC  20006

      Phone:      (202)419-7098     Fax:  (202)419-1421

      Email:      SBA@mclartycapital.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 II, L.P.

         

      John A. Miller, Contact

      1111 Brickell Avenue, Suite 1300

      Miami, FL  33131

      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

         

      FUNDING STAGE REFERENCES

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

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:      lmarler@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.

         

 

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 Fund II, L.P.

         

      James B. Darnell, Contact

      601 Bayshore Blvd., Suite 850

      Tampa, FL  33606

      Phone:      (813)222-0160     Fax:  (813)222-0161

      Email:      chris@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

         

 

Penta Mezzanine SBIC Fund I, L.P.

         

      Rebecca Irish - Managing Principal/CFO

      20 North Orange Avenue, Suite 1550

      Orlando, FL  32801

      Phone:      (407)648-5097     Fax:  (407)641-9286

      Email:      rirish@pentamezz.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

         

Stonehenge Growth Equity Fund, L.P.

         

      Steven F. Lux

      707 West Azeele Street

      Tampa, FL  33606

      Phone:      (813)221-8302     Fax:  (813)221-6453

      Email:      sflux@stonehengegc.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

         

 

Georgia

   

Chatham SBIC Fund IV, L.P.

         

      Brian G. Reynolds

      400 Galleria Parkway, Suite 1950

      Atlanta, GA  30339

      Phone:      (770)618-2100     Fax:  (770)618-2101

      Email:      br@chathamcapital.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

         

Chatham SBIC Fund QP IV, L.P.

         

      Brian G. Reynolds

      400 Galleria Parkway, Suite 1950

      Atlanta, GA  30339

      Phone:      (770)618-2100     Fax:  (770)618-2101

      Email:      br@chathamcapital.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

         

 

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

         

Noro-Moseley Partners SBIC, LP

         

      William L. Hudson

      4200 Northside Parkway, Building 9

      Atlanta, GA  30327

      Phone:      (404)233-1966     Fax:  (404)239-9280

      Email:      whudson@noromoseley.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

         

 

Peachtree II, L.P.

         

      David Christopher, Contact

      1230 Peachtree Street NE

      Suite 1900

      Atlanta, GA  30309

      Phone:      (404)870-8900     Fax:  (404)870-8191

      Email:      david@peachtreeequity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Preferred Equity

         

      FUNDING STAGE REFERENCES

      Expansion

      Later Stage

      Acquisition

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Service, Financial Services

      (non lending), Government

      Contracting

         

      GEOGRAPHIC PREFERENCES

      East/Southeast

         

      DESCRIPTION OF FIRM'S FOCUS

      Peachtree II provides subordinated debt and

      equity securities to middle market companies

      seeking capital for growth,expansion,

      acquisition, or shareholder liquidity.

         

 

Salem Halifax Capital Partners, L.P.

         

      Spalding White

      2849 Paces Ferry Rd

      Overlook I, Suite 660

      Atlanta, GA  30339

      Phone:      (770)790-5034     Fax:  (770)790-5104

      Email:      swhite@salemcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Mezzanine Equity

         

      FUNDING STAGE REFERENCES

      Later Stage / Expansion

         

      INDUSTRY PREFERENCE

      Manufacturing

      Light Industrial

      Business Services

      Distribution

      Healthcare

         

      GEOGRAPHIC PREFERENCES

      Southeast, Southwest

      Midwest, Mid-Atlantic

         

      DESCRIPTION OF FIRM'S FOCUS

      Provides capital for growth, expansion,

      acquisition, LBO, MBO to rapidly growing

      companies with historical

      positive cash flow of $1 million or more

      and sales of $5-$75 million.

         

 

White Oak SBIC Fund, L.P.

         

      Christopher C.  Melton, Contact

      600 Galleria Parkway, Suite 1400

      Atlanta, GA  30339

      Phone:      (404)875-9994     Fax:  (404)875-9545

      Email:      sba@thewhiteoakgroup.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Controlled Equity Positions

         

      FUNDING STAGE REFERENCES

      Growth

         

      INDUSTRY PREFERENCE

      Aerospace and Defense

         

      GEOGRAPHIC PREFERENCES

      Eastern United States

         

      DESCRIPTION OF FIRM'S FOCUS

      We focused on making controlled equity

      investments in the C4ISR sector of the

      Aerospace and Defense Industry.

         

 

Illinois

   

Aldine Capital Fund II, L.P.

         

      Michael J. Revord

      30 West Monroe Street, Suite 710

      Chicago, IL  60603

      Phone:      (312)346-3950     Fax:  (312)346-3930

      Email:      mrevord@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

         

 

Aldine SBIC Fund, L.P.

         

      Albert L. Brahm, Contact

      30 West Monroe Street

      Suite 710

      Chicago, IL  60603

      Phone:      (312)346-3950     Fax:  (312)346-3930

      Email:      bbrahm@aldinecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine and Equity

         

      FUNDING STAGE REFERENCES

      Growth or Late Stage

         

      INDUSTRY PREFERENCE

      Will not pursue turnaround

      or early stage situations, real

      estate, finance or insurance.

         

      GEOGRAPHIC PREFERENCES

      Nationwide w/Midwest

      focus

         

      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:      AHKalnow@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

         

 

BA Capital Company, L.P.

         

      Emili de la Cruz

      135 S. LaSalle Street, 8th Floor

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (312)828-8625     Fax:  (312)453-3855

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $40,000,000

      Preferred Max:    $150,000,000

          

      TYPE OF CAPITAL PROVIDED

      Equity

      Sub. Debt w/Warrants

         

      FUNDING STAGE REFERENCES

      Later Stage

      Expansion

      MBO

      LBO

      Acquisition

         

      INDUSTRY PREFERENCE

      Healthcare, Information

      Technology, Media &

      Entertainment, Retail, Energy

      Telecommunications, Power

      Financial Services, Industrials

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Invests in middle market companies as well

      as smaller, higher growth firms in a broad

      array of industries. Provide venture &

      risk capital for growth financings,

      buyouts, acquisitions, recapitalizations &

      other situations requiring equity.

         

 

Banc of America Capital Investors SBIC, L.P.

         

      Emili de la Cruz, 312-828-8685

      135 S. LaSalle Street, 8th Floor

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (704)944-0966     Fax:  (704)944-0973

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $40,000,000

      Preferred Max:    $150,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Sub. Debt w/Warrants

         

      FUNDING STAGE REFERENCES

      Later Stage

      Expansion

      MBO

      LBO

      Acquisition

         

      INDUSTRY PREFERENCE

      Healthcare, Information

      Technology, Media &

      Entertainment, Retail, Energy

      Telecommunications, Power

      Financial Services, Industrials

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Invests in middle market companies as well

      as small, higher growth firms in a broad

      array of industries.  Provide venture & risk

      capital for growth financings, buyouts,

      acquisitions, recapitalizations and other

      situations requiring equity.

         

 

BancAmerica Capital Investors SBIC II, L.P.

         

      Emili de la Cruz, 312-828-8685

      135 S. LaSalle Street, 8th FL

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (312)828-2287     Fax:  (312)923-0668

      Email:      gregory.costigan@bankofamerica.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

         

 

BancBoston Ventures, Incorporated

         

      Gregory Costigan

      135 S. LaSalle Street, 8th FL

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (704)683-5741     Fax:  (704)388-2746

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Mezzanine

         

      FUNDING STAGE REFERENCES

      Early Stage

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Healthcare

      Media

      Communications

      Information Technology

      Diversified

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

CapX Fund IV, L.P.

         

      Jeffry S. Pfeffer, Contact

      155 N. Wacker Dr. Suite #1760

      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

         

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.

         

      Carol Winslow

      1210 Chicago Avenue, Suite 703

      Evanston, IL  60202

      Phone:      (847)779-1502     Fax:  (847)779-1535

      Email:      cwinslow@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

         

 

Continental Illinois Venture Corp.

         

      Greg Costigan

      135 S. LaSalle Street, 8th Floor

      Mailcode IL4-135-08-62

Chicago, IL  60603

      Phone:      (312)828-8685     Fax:  (312)453-3855

      Email:      gregory.costigan@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.

         

 

Dunrath Capital Infrastructure Surety Fund, L.P.

         

      John Abernethy, Contact

      701 Harger Rd.

      Suite 150

      Oak Brook, IL  60523

      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 II, L.P.

         

      Edward H. Ross, Contact

      1603 Orrington Avenue, Suite 1005

      Evanston, IL  60201

      Phone:      (847)859-3941     Fax:  (847)859-3953

      Email:      eross@fidusinv.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

      1603 Orrington Avenue, Suite 1005

      Evanston, IL  60201

      Phone:      (847)859-3940     Fax:  (847)859-3953

      Email:      eross@fiduspartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $4,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans, Debt

      Equity

      Co-investment (non-control)

         

      FUNDING STAGE REFERENCES

      Later Stage

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Midwest

      Northeast

      Southeast

         

      DESCRIPTION OF FIRM'S FOCUS

      Fidus Mezzanine provides flexible junior

      capital solutions to support growth and

      value creation strategies of middle market

      companies.

         

 

Freeport Financial SBIC Fund LP

         

      Joseph V. Walker

      300 North La Salle, Suite 5300

      Chicago, IL  60654

      Phone:      (312)281-4609     Fax:  (312)589-3002

      Email:      jwalker@freeportfinancial.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:    $4,000,000

      Preferred Max:    $6,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt or debt/equity securities

         

      FUNDING STAGE REFERENCES

      Later Stage/Growth

         

      INDUSTRY PREFERENCE

      Business services

      Consumer products

      Distribution

      Manufacturing

      Healthcare

         

      GEOGRAPHIC PREFERENCES

      National with a focus on

      the midwest.

         

      DESCRIPTION OF FIRM'S FOCUS

      Mezzanine and equity investment opport-

      unities in middle market, small business

      with minimum revenues of $10 million,

      positive EBITDA, and  a scalable business

      operating model.

         

 

High Street Capital IV SBIC, L.P.

         

      Joseph R. Katcha, Contact

      150 North Wacker Drive, Suite 2420

      Chicago, IL  60606

      Phone:      (312)423-2650     Fax:  (312)267-2861

      Email:      joe@highstreetcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt-60%

      Equity-40%

         

      FUNDING STAGE REFERENCES

      Change of Control-90%

      Later Stage-10%

         

      INDUSTRY PREFERENCE

      Healthcare/Life Sciences-20%

      Manufacturing-20%

      Distribution-20%

      Services-40%

         

      GEOGRAPHIC PREFERENCES

      Northeast-10%

      Midwest-50%

      Southeast-30%

      Southwest-10%

         

      DESCRIPTION OF FIRM'S FOCUS

      Value Added via active Asset Managers

      Help Build the company and EBITDA via

      strategy refinement, building the management

      team, and improving operational

      performance.

         

 

Invision Capital I, L.P.

         

      Robert J. Castillo, Contact

      225 W. Washington Street, Suite 1155

      Chicago, IL  60606

      Phone:      (312)236-4600     Fax:  (312)893-3841

      Email:      rcastillo@invisioncapitalgroup.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 II-A, L.P.

         

      Andrew Shackelford, Contact

      70 W Madison Street,  Suite 5710

      Chicago, IL  60602-4370

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

         

 

LaSalle Capital Group, L.P.

         

      Andrew Shackelford, CFO

      70 W Madison Street,  Suite 5710

      Chicago, IL  60602-4370

      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

         

MidWest Mezzanine Fund V SBIC, L.P.

         

      Paul Kreie

      55 W. Monroe Avenue, Suite 3650

      Chicago, IL  60603

      Phone:      (312)291-7303     Fax:  (312)345-0665

      Email:      pkreie@mmfcapital.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

         

Monroe Capital Corporation SBIC, LP

         

      Ted Koenig, Contact

      311 S. Wacker Drive, Suite 6400

      Chicago, IL  60606

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

 

Monroe Capital Partners Fund II, LP

         

      Ted Koenig, Contact

      311 S. Wacker Drive, Suite 6400

Chicago, IL  60606

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

Monroe Capital Partners Fund LP

         

      Ted Koenig, Contact

      311 S Wacker Dr Ste 6400

      Chicago, IL  60606-6710

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

 

NXT Capital SBIC, LP

         

      Robert Radway

      191 N. Wacker, Suite 1200

      Chicago, IL  60606

      Phone:      (781)486-6601     Fax:  (781)486-6610

      Email:      Robert.Radway@nxtcapital.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 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:      robert@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

         

 

Vogen Funding, L.P.

         

      Jeffry S. Pfeffer, Contact

      155 N. Wacker Dr., Suite 1760

      Chicago, IL  60606

      Phone:      (312)629-2878     Fax:  (312)629-2874

      Email:      jspfeffer@capxpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equipment Leases

      Loans

      Secured Mezzanine

         

      FUNDING STAGE REFERENCES

      Late Stage Venture

      Growth Capital

      Buyout

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Technology/Telecom

      Business Services

         

      GEOGRAPHIC PREFERENCES

      National Footprint

         

      DESCRIPTION OF FIRM'S FOCUS

      CapX Partners, founded in 1999, is a equip-

      ment financing and secured mezzanine fund

      focusing on transaction sizes of $2-$10m for

      private equity and venture backed portfolio

      companies. CapX is investing out of its

      $150m third fund (Vogen).

         

 

VPC SBIC I, LP

         

      Brendan Carroll

      227 W. Monroe, Suite 3900

      Chicago, IL  60606

      Phone:      (312)701-0785     Fax:  (312)701-0794

      Email:      jschneider@vpcadvisors.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

         

      Judd P. McNally, COO

      100 North Michigan Street

      4th Floor

      South Bend, IN  46634

      Phone:      (574)235-2416     Fax:  (574)235-2227

      Email:      McNallyJ@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.

         

 

CCP III-SBIC, L.P.

         

      D. Scott Lutzke

      10 West Market Street, Suite 3030

      Indianapolis, IN  46204

      Phone:      (317)237-2321     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

         

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

         

 

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:    $500,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Subordinated Debt

         

      FUNDING STAGE REFERENCES

      20% Developmental

      40% Expansion

      5% Turnaround

      35 %Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Consumer

      Healthcare

Technology

         

      GEOGRAPHIC PREFERENCES

      MidWest

         

      DESCRIPTION OF FIRM'S FOCUS

      Manufacturing

      Consumer Products / Services

      Heathcare

      Technology

      Other

         

 

Lewis & Clark Private Equities, L.P.

         

      David R. Schroder, Contact

      3349 Southgate Ct SW Suite 102

      Cedar Rapids, IA  52404-

      Phone:      (319)363-8249     Fax:  (319)363-9683

      Email:      mbenge@investam.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $500,000

      Preferred Max:    $2,500,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Preferred Stock

      Equity

         

      FUNDING STAGE REFERENCES

      Growth and Later Stage

         

      INDUSTRY PREFERENCE

      Manufacturing

      Service

      Distribution

      Technology

         

      GEOGRAPHIC PREFERENCES

      United States

          

      DESCRIPTION OF FIRM'S FOCUS

      Invest in growth and later stage manu-

      facturing, service, distribution, and

      technology businesses with from $10 to $50

      million in sales, both growth and buyout

      financing throughout U.S.  However, the Fund

      is now fully invested.

         

 

North Dakota SBIC, L.P.

         

      David R. Schroder, Manager

      3349 Southgate Ct. SW, Suite 102

      Cedar Rapids, IA  52404-

      Phone:      (319)363-8249     Fax:  (319)363-9683

      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

      10601 Mission Road, Suite 250

      Leawood, KS  66206

      Phone:      (913)262-7117     Fax:  (913)262-3509

      Email:      mparker@kvci.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Subordinated Debt

         

      FUNDING STAGE REFERENCES

      No Seed

      All Other Stages

         

      INDUSTRY PREFERENCE

      Manufacturing

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Primarily Midwest

         

      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 Fund II, L.P.

   

      Tim 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

         

MidStates Capital Fund III, L.P.

         

      Tim Keeble

      7300 West 110th Street, 7th Floor

      Overland Park, KS  66210

      Phone:      (913)962-9007     Fax:  (913)962-0699

      Email:      tim@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

   

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:    $350,000

         

      TYPE OF CAPITAL PROVIDED

      Loan

      Debt

      Equity

         

      FUNDING STAGE REFERENCES

      Seed

      Early

      Expansion

      Later Stages

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southeast Kentucky

         

      DESCRIPTION OF FIRM'S FOCUS

      Prefers to invest in firms to be located

      in Eastern Kentucky.

          

 

Louisiana

   

Jefferson Capital Partners I, L.P.

         

      William J. Harper, Contact

      #5 Sanctuary Blvd., Suite 103

      Mandeville, LA  70471

      Phone:      (985)727-7232     Fax:  (985)727-7213

      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

         

 

Jefferson Capital Partners II, LP

         

      Francis T. Cazayoux, Jr.

      #5 Sanctuary Blvd., Suite 103

      Mandeville, LA  70471

      Phone:      (985)727-7232     Fax:  (985)727-7213

      Email:      pgiffin@jeffcap.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

         

 

LongueVue Capital Partners II, LP

         

      Peyton Bush IV, Contact

      111 Veterans Blvd., Suite 1020

      Metairie, LA  70005

      Phone:      (504)293-3604     Fax:  (504)834-1142

      Email:      pbush@lvcpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $6,500,000

      Preferred Max:    $6,500,000

         

      TYPE OF CAPITAL PROVIDED

      Equity - 30%

      Debt - 35%

      Loan - 35%

         

      FUNDING STAGE REFERENCES

      Later Stage - 35%

      Change of Control - 35%

      Turnaround - 15%

      Expansion - 15%

         

      INDUSTRY PREFERENCE

      Service - 25%

      Other - 20%

      Manufacturing - 15%

      Distribution - 12.5%

      Technology - 10%

         

      GEOGRAPHIC PREFERENCES

      Southeast - 50%

      Mid-Atlantic - 10%

      MidWest - 10%

      Northeast - 10%

      West - 10%

         

      DESCRIPTION OF FIRM'S FOCUS

      Target Revenue - $10M - $100M

      Target EBITDA - $2M - $10M

      Total Companies - 15+

         

 

Maine

   

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

          

 

Maryland

   

Farragut Mezzanine Partners III, L.P.

         

      Philip McNeill

      5425 Wisconsin Avenue, Suite 401

      Chevy Chase, MD  20815

      Phone:      (301)913-5293     Fax:  (301)913-5969

      Email:      pmcneill@farragutcapitalpartners.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

         

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

         

 

MidCap Financial SBIC, L.P.

         

      Steve Curwin, Contact

      7255 Woodmont Avenue, Suite 200

      Bethesda, MD  20814

      Phone:      (301)841-6433     Fax:  (301)941-1450

      Email:      dmoore@midcapfinancial.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

         

Multiplier Capital, LP

         

      Kevin P. Sheehan

      2 Wisconsin Circle, Suite 700

      Chevy Chase, MD  20815

      Phone:      (240)235-5062     Fax:  (240)345-1004

      Email:      sheehan@multipliercapital.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

      509 South Exeter Street

      Suite 210

      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 III SBIC, L.P.

         

      Chris M. Royston, Contact

      509 South Exeter Street

      Suite 210

      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

      509 South Exeter Street

      Suite 210

      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

         

RLJ Credit Opportunity Fund I, L.P.

          

      Trevoir D. Gregg, Contact

      3 Bethesda Metro Center, Suite 1000

      Bethesda, MD  20814

      Phone:      (240)744-7849     Fax:  (301)280-7762

      Email:      tgregg@rljcredit.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 II, L.P.

         

      Robert M. Stewart, Contact

      The Foxleigh Building, Suite 340

      2330 W. Joppa Road

      Lutherville, MD  21093-

      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 III, L.P.

         

      Robert M. Stewart

      The Foxleigh Building, Suite 340

      2330 W. Joppa Road

      Lutherville, MD  21093-

      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

         

 

Massachusetts

   

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

         

 

Citizens Ventures, Inc.

         

      Thomas K. Schmidt

      28 State St., 11th Floor MS 1000

      Boston, MA  02109

      Phone:      (617)725-5835     Fax:  (617)742-9471

      Email:      thomas.k.schmidt@citizens.bank.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

         

Crystal Financial SBIC LP

         

      Ward K. Mooney

      Two International Place, 17th Floor

      Boston, MA  02110

      Phone:      (617)428-8700     Fax:  (617)428-8701

      Email:      colin@crystalsbic.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 Fisher Jurvetson New England Fund I (SBIC), L.P.

         

      Todd Hixon, Contact

      One Broadway, 14th Floor

      Cambridge, MA  02142

      Phone:      (617)758-4213     Fax:  (617)758-4101

      Email:      todd@navfund.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      N/A

         

      FUNDING STAGE REFERENCES

      N/A

         

      INDUSTRY PREFERENCE

      N/A

         

      GEOGRAPHIC PREFERENCES

      N/A

          

      DESCRIPTION OF FIRM'S FOCUS

      This fund is no longer investing in new

      portfolio companies.

         

Gemini Investors III, L.P.

         

      David F. Millet, 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

         

 

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

         

Gemini Investors V, L.P.

         

      Matthew E. 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

         

 

High Peaks Seed Ventures, L.P.

         

      Russell Howard, Contact

      One Bank Street, 2nd Floor

      Williamstown, MA  01267

      Phone:      (518)720-3090     Fax:  (518)720-3091

      Email:      Russ@HPVP.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

      One Bank Street, 2nd Floor

      Williamstown, MA  01267

      Phone:      (518)720-3090     Fax:  (518)720-3091

      Email:      Russ@HPVP.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $750,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Capital

         

      FUNDING STAGE REFERENCES

Early Stage

         

      INDUSTRY PREFERENCE

      Technology

         

      GEOGRAPHIC PREFERENCES

      New York State

         

      DESCRIPTION OF FIRM'S FOCUS

      High Peaks is a venture capital firm focused

      on investments in market leading, early

      stage tech. companies.  High Peaks closed

      its inaugural fund in '04 & is actively in-

      vesting in NY state and thru-out the north-

      east focusing on internet-enabled business.

         

 

Lancet Capital Health Ventures, L.P.

         

      William Golden, Manager

      245 First Street

Suite 1800

      Cambridge, MA  02142

      Phone:      (617)444-8582     Fax:  (617)444-8405

      Email:      wgolden@lancetcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $2,500,000

         

      TYPE OF CAPITAL PROVIDED

      Private Equity

         

      FUNDING STAGE REFERENCES

      Seed

      Early Stage

         

      INDUSTRY PREFERENCE

      Biomedical

         

      GEOGRAPHIC PREFERENCES

      Northeast US

         

      DESCRIPTION OF FIRM'S FOCUS

      Invest primarily in medical device, drug

      discovery, bioinformatics companies.

         

Long River Ventures III, L.P.

         

      Tripp Peake

      7 North Pleasant Street, Suite 2C

      Amherst, MA  01002

      Phone:      (413)587-2155     Fax:  (413)587-2156

      Email:      tpeake@longriverventures.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

         

 

Pine Street Capital Partners II, L.P.

         

      David Morris

      572 Washington Street

      The Rotunda Building, Wuite 16

      Wellesley, MA  12207-

      Phone:      (781)237-0005

         

      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

         

Seacoast Capital Partners II, L.P.

         

      Thomas Gorman, Contact

      55 Ferncroft Road

      Danvers, MA  01923

      Phone:      (978)750-1311     Fax:  (978)750-1301

      Email:      tgorman@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

         

 

Seacoast Capital Partners III, L.P.

         

      Thomas Gorman, Contact

      55 Ferncroft Road, Suite 110

      Danvers, MA  01923

      Phone:      (978)750-1311     Fax:  (978)750-1301

Email:      tgorman@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:    $100,000

      Preferred Max:    $1,250,000

         

      TYPE OF CAPITAL PROVIDED

      75%: Loan and debt

      25%: Equity

         

      FUNDING STAGE REFERENCES

      20-30%: startup & dvlpmnt

      70-80%: Exp & Later

         

      INDUSTRY PREFERENCE

      no industry specific

         

      GEOGRAPHIC PREFERENCES

      southeast Massachusetts

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Ticonderoga SBIC, L.P.

         

      Craig A.T. Jones, Contact

      25 Braintree Hill Park, Suite 200

      Braintree, MA  02184

      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

         

 

Michigan

   

Dearborn Capital Corp.   (SSBIC)

         

      Paul Rau

      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

         

 

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

         

 

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:    $6,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      50% equity

      50% debt

         

      FUNDING STAGE REFERENCES

      later stage

         

      INDUSTRY PREFERENCE

      manufacturing

      business services

      distribution

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Buyouts and recapitalizations.

         

Bayview Capital Partners III LP

         

      Shane Slominski, Contact

      301 Carlson Parkway, Suite 325

      Minnetonka, MN  55305

      Phone:      (952)345-2032     Fax:  (952)345-2001

      Email:      sslominski@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

         

 

Convergent Capital Partners II, L.P.

         

      Keith Bares, Contact

      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:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/equity

      warrants or other yield

      enhancements

         

      FUNDING STAGE REFERENCES

      Growth and Late Stage

         

      INDUSTRY PREFERENCE

      Convergent will consider

      investments in a broad

      range of industries.

         

      GEOGRAPHIC PREFERENCES

      Convergent will consider

      investments across the

      United States.

         

      DESCRIPTION OF FIRM'S FOCUS

      Convergent provides growth & acquisition

      capital to businesses committed to long-term

      sustainable growth.  We also structure in-

      vestments around recapitalizations, spon-

      sored  management buyouts, & add-on fin-

      ancings to our existing portfolio companies.

         

 

Convergent Capital Partners III, L.P.

         

      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:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE REFERENCES

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

GMB Mezzanine Capital II, L.P.

         

      Carleton L. Olmanson, Contact

      50 South Sixth Street, Suite 1460

      Minneapolis, MN  55402

      Phone:      (612)243-4405     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

         

 

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:    $3,000,000

      Preferred Max:    $13,000,000

         

      TYPE OF CAPITAL PROVIDED

      All-coupon, fixed rate subor-

      dinated notes with nominally-

      priced warrants.

         

      FUNDING STAGE REFERENCES

      Mature companies w/sound

      historical financial per-

      formance and diversified

      product,customer and

      supplier base.

         

      INDUSTRY PREFERENCE

      Niche manufacturing and

      fabrication, value-added

      distribution and service

      companies.

         

      GEOGRAPHIC PREFERENCES

      United States only.

   

      DESCRIPTION OF FIRM'S FOCUS

      Investments, as described above, in priv-

      ately-owned companies of less than $100m of

      enterprise value.  We will participate as a

      sole investor, a lead investor for co-invest

      ment group, or as a co-investor w/another

      institutional investor.

         

 

Marquette Capital Fund II, 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.

         

      Dean Pickerell

      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

         

      INDUSTRY PREFERENCE

      Communications

      Technology

      Manufacturing

      Services

         

      GEOGRAPHIC PREFERENCES

      Midwest

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Private Equity-Sponsored buyouts.

         

 

Spell Capital Mezzanine Partners SBIC, LP

         

      Andrew P. Leonard

      222 South Ninth Street, Suite 2880

      Minneapolis, MN  55402

      Phone:      (612)371-9650     Fax:  (612)371-9651

      Email:      andrea@spellcapital.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

         

Trailhead Fund Limited Partnership

         

      Jason T. Brass

      Goldner Hawn Johnson & Morrison Inc.

      3700 Wells Fargo Ctr., 90 S. Seventh St.

Minneapolis, MN  55402-4128

      Phone:      (612)338-5912     Fax:  (612)338-2860

      Email:      goldstein@ghjm.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

         

 

Missouri

   

C3 Capital Partners II, L.P.

         

      Patrick F. Healy, Contact

      1511 Baltimore Ave

      Suite 500

      Kansas City, MO  64108-

      Phone:      (816)756-2225     Fax:  (816)756-5552

      Email:      phealy@C3cap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt,

      with detachable warrants

   

      FUNDING STAGE REFERENCES

      Mature companies (no-

      turnarounds or start-ups)

         

      INDUSTRY PREFERENCE

      Chemicals, energy

      business services

      distribution and

      high valued-added

      manufacturing

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Partnering with entrepreneurs to accomplish

      a transaction where the funds are used for

      growth capital, strategic acquisitions,

      ownership transitions or recapitalizations.

         

 

C3 Capital Partners III, L.P.

         

      Patrick F. Healy

      1511 Baltimore Ave

      Suite 500

      Suite 500

      Kansas City, MO  64108-

      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

      1511 Baltimore Avenue

      Suite 500

      Kansas City, MO  64108-

      Phone:      (816)756-2225     Fax:  (816)756-5552

      Email:      phealy@C3cap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt

      w/detachable warrants

         

      FUNDING STAGE REFERENCES

      Mature companies (no

      turnarounds or start-ups)

         

      INDUSTRY PREFERENCE

      Chemicals, energy

      business services

      distribution and high

      value-added manufacturing

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Partnering with entrepreneurs to accomplish

      a transaction where the funds are used for

      growth capital, strategic acquisitions,

      ownerships transitions or recapitalizations.

         

 

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

         

CFB Venture Fund L.P.

         

      Stephen B. Brown, Managing Partner

      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

         

 

Eagle Fund I, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint 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.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint 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

         

 

Eagle Fund III, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint Louis, MO  63105

      Phone:      (314)727-4555     Fax:  (314)727-8829

      Email:      bmg@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

         

Eagle Fund III-A, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint Louis, MO  63105

      Phone:      (314)727-4555     Fax:  (314)727-8829

      Email:      bmg@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

         

 

Nebraska

   

FCP Fund II, L.P.

         

      David F. McLeese, Contact

      1620 Dodge Street

      Omaha, NE  68102

      Phone:      (402)602-3517     Fax:  (402)602-3477

      Email:      dmcleese@firstcapitalpartners.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 Hampshire

   

MB Growth Partners II, L.P.

         

      Jeffrey M. Pollock, Contact

      1444 Union Street

      Manchester, NH  03104

      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

      Please visit our web address:

      www.merchantbanc.com

         

 

New Jersey

   

Contemporary Healthcare Fund I, LP

         

      Eric Smith, Contact

      1040 Broad Street, Suite 103

      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

         

Contemporary Healthcare Senior Lien Fund I, LP

         

      Eric Smith, Contact

      1040 Broad Street, Suite 103

      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

         

 

Edison Fund V, L.P.

         

      Ross Martinson, Contact

      1009 Lenox Drive, Suite 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, Suite 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

         

 

University Ventures, Inc.   (SSBIC)

         

      Leah Apgar

      c/o New Jersey Community Capital

      108 Church Street, 3rd Floor

      New Brunswick, NJ  08901

      Phone:      (732)640-2061     Fax:  (732)543-1201

      Email:      lapgar@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

         

 

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)390-0545

      Email:      mcline@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.

         

 

AEA Investors Small Business Fund LP

         

      John F. Cozzi, Contact

      666 Fifth Avenue

      36th Floor

      New York, NY  10103

      Phone:      (212)702-0504     Fax:  (212)702-0550

      Email:      jcozzi@aeainvestors.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $10,000,000

      Preferred Max:    $30,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE REFERENCES

      Growth

      Change of Control

         

      INDUSTRY PREFERENCE

      Consumer

      Industrial

      Services

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Argentum Capital Partners II, L.P.

         

      Daniel Raynor, Chairman

      60 Madison Avenue, Suite 701

      New York, NY  10010

      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

         

Brightwood Capital SBIC I, LP

         

      Damien R. Dwin, Contact

      1540 Broadway, 23rd Floor

      New York, NY  10036

      Phone:      (646)957-9525     Fax:  (646)957-9265

      Email:      sba@brightwoodlp.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

         

 

Brightwood Capital SBIC II, LP   (SSBIC)

         

      Damien R. Dwin, Contact

      1540 Broadway, 23rd Floor

      New York, NY  10036

      Phone:      (646)957-9525     Fax:  (646)957-9265

      Email:      sba@brightwoodlp.com

         

      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.

         

 

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

         

CapitalSpring SBIC, L.P.

         

      Lisa Lersner, Contact

      950 3rd Avenue, 24th Floor

      New York, NY  10022

      Phone:      (212)981-0153     Fax:  (212)981-0159

      Email:      llersner@capitalspring.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Deby

         

      FUNDING STAGE REFERENCES

      Late Stage

         

      INDUSTRY PREFERENCE

      Services 10%

      Consumer Products & Retail - 90%

         

      GEOGRAPHIC PREFERENCES

      West 35%

      Northeast 35%

      Other 30%

         

      DESCRIPTION OF FIRM'S FOCUS

      Brand name franchises financing

         

 

Cephas Capital Partners II, L.P.

         

      Jeff Holmes, Contact

      11 Schoen Place, 8th Floor

      Pittsford, NY  14534

      Phone:      (585)383-1610     Fax:  (585)383-1613

      Email:      ccampbell@cephascapital.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

         

 

Cephas Capital Partners L.P.

         

      Clint Campbell, Jeff Holmes, Mgrs.

      11 Schoen Place - 8th Floor

      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

      Recaptalization

         

      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.

         

 

Deerpath Capital II, L.P.

         

      James H. Kirby, Contact

      405 Lexington Avenue, 71st Floor

      New York, NY  10174

      Phone:      (646)786-1022     Fax:  (646)417-7095

      Email:      jkirby@deerpathcapital.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

         

Deerpath Funding, L.P.

         

      James H. Kirby, Contact

      405 Lexington Avenue, 71st Floor

      New York, NY  10174

      Phone:      (646)786-1022     Fax:  (646)417-7095

      Email:      jkirby@deerpathcapital.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

         

 

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

         

DeltaPoint Capital IV (New York), L.P.

         

      Kevin M. Halpin

      45 East Avenue, 6th Floor

      Rochester, NY  14604

      Phone:      (585)454-6990     Fax:  (585)454-3204

      Email:      khalpin@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

         

 

DeltaPoint Capital IV, L.P.

         

      Kevin M. Halpin

      45 East Avenue, 6th Floor

      Rochester, NY  14604

      Phone:      (585)454-6990     Fax:  (585)454-3204

      Email:      khalpin@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 Capital Holdings Ltd.   (SSBIC)

         

      Fredrick Schulman, President

      30 East 29th Street, Suite 204

      New York, NY  10016

      Phone:      (212)686-1515     Fax:  (212)686-1131

      Email:      zindel@eastcoastcapitalholdings.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

         

 

Emigrant Capital Corporation

         

      Christopher Hammond, Controller

      6 East 43rd Street

      20th Floor

      New York, NY  10017

      Phone:      (212)850-4470     Fax:  (212)850-3470

      Email:      hammondc@emigrant.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE REFERENCES

      Generating Revenue

      Cash Flow Positive

         

      INDUSTRY PREFERENCE

      Outsourced Business Services

      Healthcare Services

      Niche Manufacturing, Software

      Services, Environmental

      Products and Services

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Emigrant Capital Corp. is the private equity

      division of Emigrant Savings Bank, the

      nation's largest-family owned bank.  We make

      equity investments in established businesses

      that can benefit from our financial, oper-

      ational and strategic resources.

         

 

Empire State Capital Corporation   (SSBIC)

         

      Mitzi Wu, Vice President

      7 Dey Street, #1201

      New York, NY  10007

      Phone:      (212)513-1799     Fax:  (212)513-1874

      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

         

Enhanced Small Business Investment Company, L.P.

         

      Michael Korengold

      601 Lexington Avenue, 55th Floor

      New York, NY  10022

      Phone:      (212)207-3385     Fax:  (212)207-9031

      Email:      mkorengold@enhancedcap.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 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

         

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@gibuk.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

         

 

Fifth Street Mezzanine Partners IV, L.P.

         

      Bernard D. Berman, Contact

      10 Bank Street

      Suite 1210

      White Plains, NY  10606

      Phone:      (914)286-6810     Fax:  (914)328-4214

      Email:      bernie@fifthstreetcap.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

         

Fifth Street Mezzanine Partners V, L.P.

         

      Bernard D. Berman, Contact

      10 Bank Street, 12th Floor

      White Plains, NY  10606

      Phone:      (914)286-6804     Fax:  (914)328-4214

      Email:      bernie@fifthstreetfinance.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

         

 

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:      slitfin@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

         

GC SBIC IV, L.P.

         

      Gregory W. Cashman, Contact

      666 Fifth Avenue, 18th Floor

      New York, NY  10103

      Phone:      (212)750-6060     Fax:  (212)750-3756

      Email:      sba@golubcapital.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

         

 

GC SBIC V, L.P.

         

      Gregory W. Cashman, Contact

      666 Fifth Avenue, 18th Floor

      New York, NY  10103

      Phone:      (212)750-6060     Fax:  (212)750-3756

      Email:      sba@golubcapital.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

         

Gefus SBIC II, L.P.

         

      Christopher F. Davis, Contact

      375 Park Avenue, Suite 3607

      New York, NY  10152

      Phone:      (212)308-3403     Fax:  (212)308-1182

      Email:      cdavis@gefinor.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

         

 

Gefus SBIC, L.P.

         

      William J. Beckett

      375 Park Avenue, Suite 3607

      New York, NY  10152

      Phone:      (212)308-1111     Fax:  (212)308-1182

      Email:      wbeckett@gefinor.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

         

Graycliff Mezzanine II LP

         

      Andrew P. Trigg

      500 Fifth Avenue, 47th Floor

      New York, NY  10110

      Phone:      (212)300-2903     Fax:  (646)439-0871

      Email:      atrigg@graycliffpartners.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 Ferry Capital II, L.P.

         

      Timothy Ross, Contact

      275 Madison Avenue, 36st Floor

      New York, NY  10016

      Phone:      (212)682-5205     Fax:  (212)308-3893

      Email:      tross@hudsonferry.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.

         

      John P. Truehart, Jr., Contact

      545 Fifth Avenue, 4th Floor

      New York, NY  10017

      Phone:      (212)644-9797     Fax:  (212)583-1859

      Email:      jtruehart@hudsonptr.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

      Debt w/Equity Features

          

      FUNDING STAGE REFERENCES

      Early Stage

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Internet, Software

         

      GEOGRAPHIC PREFERENCES

      Northeast United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Technology and service related businesses.

         

 

KBL Healthcare, L.P.

         

      Marlene Krauss

      52 East 72nd Street-PH

      New York, NY  10021

      Phone:      (212)319-5555     Fax:  (212)319-5591

      Email:      ss@kblvc.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

         

Kinderhook Capital SBIC Fund I, L.P.

         

      Robert Michalik, Contact

      521 Fifth Avenue

      34th Floor

      New York, NY  10175

      Phone:      (212)201-6780     Fax:  (212)201-6790

      Email:      rmichalik@kinderhookcapital.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 Funding LLC

         

      Alvin Murstein, President

      437 Madison Avenue

      New York, NY  10022

      Phone:      (212)328-2110     Fax:  (212)328-2125

      Email:      nsarna@medallion.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $50,000

      Preferred Max:    $350,000

         

      TYPE OF CAPITAL PROVIDED

      Sr. & Sub. Debt w/Warrants

         

      FUNDING STAGE REFERENCES

      Expansion

         

      INDUSTRY PREFERENCE

      Service

      Retail

         

      GEOGRAPHIC PREFERENCES

      Mid-Atlantic

      Northeast

         

      DESCRIPTION OF FIRM'S FOCUS

         

Medley SBIC, LP

         

      Marilyn Adler

      375 Park Avenue, 33rd Floor

      New York, NY  10152

      Phone:      (646)465-8410     Fax:  (212)759-0091

      Email:      MAdler@medleycapital.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

         

 

Mercury Capital, L.P.

         

      David W. Elenowitz, Contact

      590 Madison Avenue

      30th Floor

      New York, NY  10022

      Phone:      (212)838-0888     Fax:  (212)759-3897

      Email:      ele@mercurycapitalinc.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,500,000

      Preferred Max:    $7,500,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Only

         

      FUNDING STAGE REFERENCES

      Later Stage

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Serv. Businesses

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Investments in late stage manufacturing,

      distribution and service businesses with

      cash flow of $3 million and above.

         

 

Michigan Growth Capital Partners SBIC, L.P.

         

      Jason Metakis

      11 Madison Avenue, 28th Floor

      New York, NY  10010

      Phone:      (212)538-3259     Fax:  (646)362-0935

      Email:      jmetakis@gcmlp.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

         

Multiplier Capital, LP

         

      Ezra Friedberg

      360 Madison Avenue

      20th Floor

      New York, NY  10017-

         

      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

         

 

OFS SBIC I, LP

         

      Mark Hauser

      540 Madison Avenue, Floor 8

      New York, NY  10022

      Phone:      (212)419-2860     Fax:  (212)308-0623

      Email:      mhauser@tamarixcapital.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

         

PennantPark SBIC II, LP

         

      Arthur H. Penn

      590 Madison Avenue, 15th Floor

      New York, NY  10022

      Phone:      (212)905-1010     Fax:  (212)905-1075

      Email:      penn@pennantpark.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

         

 

PennantPark SBIC, LP

         

      Aviv Efrat, Contact

      590 Madison Avenue, 15th Floor

      New York, NY  10022

      Phone:      (212)905-1001     Fax:  (212)905-1075

      Email:      efrat@pennantpark.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Debt :    5%

      Equity:  10%

      Loan:    85%

         

      FUNDING STAGE REFERENCES

      Expansion:   10%

      Later:   50%

      Change of control:  40%

         

      INDUSTRY PREFERENCE

      No more than 15% in each

      industry

         

      GEOGRAPHIC PREFERENCES

      No more than 25% for each

      region

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Pine Street Capital Partners II, L.P.

         

      Michael P. Lasch, Contact

      11 North Pearl Street, Suite 1700

      Albany, NY  12207

      Phone:      (518)449-9070     Fax:  (518)617-1115

      Email:      laschm@pinecap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $6,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine Debt - 80%

      Equity - 20%

         

      FUNDING STAGE REFERENCES

      Later stage

      Minimum revenue

       of $10 million.

         

      INDUSTRY PREFERENCE

      Business & consumer services,

      manufacturing, healthcare

         

      GEOGRAPHIC PREFERENCES

      East Coast

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Praesidian Capital Investors, LP

         

      Jason D. Drattell, Contact

      419 Park Avenue South

      New York, NY  10016

      Phone:      (212)520-2600     Fax:  (212)520-2601

      Email:      jdrattell@praesidian.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Senior and Subordinated Debt

      with Equity Kickers

         

      FUNDING STAGE REFERENCES

      Expansion, Later Stage

      Change of Control

      and Recapitalizations

         

      INDUSTRY PREFERENCE

      None

         

      GEOGRAPHIC PREFERENCES

      Continental United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Praesidian is opportunistic in terms of

      financing those companies in the lower

      middle market that have positive EBITDA of

      between $3-$15 million, that have a defen-

      sible market position, a strong management

      team, & discernable growth characteristics.

         

 

Praesidian Capital Opportunity Fund III, LP

         

      Jason D. Drattell, Contact

      419 Park Avenue South

      New York, NY  10016

      Phone:      (212)520-2600     Fax:  (212)520-2601

      Email:      jdrattell@praesidian.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

         

Rand Capital SBIC, Inc.

         

      Allen F. Grum, Jr., Contact

      2200 Rand Building

      Buffalo, NY  14203

      Phone:      (716)853-0802     Fax:  (716)854-8480

      Email:      dpenberthy@randcapital.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

         

 

RMCF II SBIC Fund, L.P.

         

      Doug England, Contact

      45 Rockefeller Center, Suite 2400

      45 Rockefeller Center

      New York, NY  10111

      Phone:      (216)535-1768     Fax:  (216)344-1330

      Email:      dengland@riversidecompany.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5

      Preferred Max:    $20

         

      TYPE OF CAPITAL PROVIDED

      1/3 equity, 2/3 debt

         

      FUNDING STAGE REFERENCES

      Change of control (85%)

      Turn around (10%)

      Later-stage (5%)

         

      INDUSTRY PREFERENCE

      Manufacturing (20%)

      Healthcare (20%)

      Services (20%)

      Tech & life sciences (10% ea.)

      Distribution & consumer products (10% ea

         

      GEOGRAPHIC PREFERENCES

      Midwest - 35%

      Northeast/Mid-Atl - 25%

      South/Southeast -25%

      West - 15%

         

      DESCRIPTION OF FIRM'S FOCUS

      One-stop provider of equity (1/3) and

      debt (2/3) in change of control transactions

      in a strategy that is a direct evolution of

      that pursuaed at prior successful Riverside

      funds.

         

 

Saratoga Investment Corp. SBIC LP

         

      Richard A. Petrocelli

      535 Madison Avenue, 4th Floor

      New York, NY  10022

      Phone:      (212)906-7966     Fax:  (212)750-3343

      Email:      hsteenkamp@saratogapartners.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

         

Triad Capital Corp. of New York   (SSBIC)

         

      Serafin Mariel, Manager

      305 Seventh Avenue, 20th Floor

      New York, NY  10001

      Phone:      (212)243-7360     Fax:  (212)243-7647

      Email:      smariel@bcfcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $250,000

         

      TYPE OF CAPITAL PROVIDED

      Debt w/Equity Features

         

      FUNDING STAGE REFERENCES

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

North Carolina

   

BB&T Capital Partners II, LLC

         

      David Townsend, Managing Partner

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE REFERENCES

      Buyout

      Acquisitions

      MBO

      Recapitalization

      Consolidation

         

      INDUSTRY PREFERENCE

      Cash flow-oriented busi-

      nesses w/critical mass in any

      industry except high tech.,

      real estate and financial

      services.

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Seeks to invest in companies w/experienced

      management, a demonstrated need for the

      company's products or services, and sus-

      tainable competitive advantages allowing for

      profitable growth both organically and thru

      strategic acquisitions.

         

 

BB&T Capital Partners Mezzanine Fund II, L.P.

         

      David Townsend, Contact

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4010

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.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

         

BB&T Capital Partners, LLC

         

      David Townsend & Martin Gilmore, Mgrs.

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.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

      No longer seeking new investments.

         

 

BB&T Capital Partners/Windsor Mezzanine Fund, LLC

         

       David Townsend

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt (with/with-

      out warrants) Equity co-invest

      -ments w/subordinated debt.

         

      FUNDING STAGE REFERENCES

      Buyout

      Acquisitions

      MBO

      Recapitalization

      Consolidation

         

      INDUSTRY PREFERENCE

      Cash flow-oriented busi-

      ness w/critical mass in any

      industry except high tech-

      nology, real estate and

      financial services.

         

      GEOGRAPHIC PREFERENCES

      National

      OGC - Mark Spellman

         

      DESCRIPTION OF FIRM'S FOCUS

      Seeks to invest in companies w/experienced

      management, a demonstrated need for the

      company's products or services, and

      sustainable competitive advantages allowing

      for profitable growth both organically and

      through strategic acquisitions.

         

 

CapitalSouth Partners Fund II, L.P.

         

      Jack McGlinn

      2530 Meridian Parkway, Suite 200

      Research Triangle Park

      Durham, NC  27713

      Phone:      (919)806-4590     Fax:  (866)801-6581

         

      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.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

 

CapitalSouth Partners SBIC Fund III, L.P.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

CapitalSouth SBIC Fund IV, L.P.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

 

Frontier Fund I, L.P.

         

      Lori Shell, Contact

      1111 Metropolitan Avenue

      Suite 1050

      Charlotte, NC  28204

      Phone:      (704)414-2880     Fax:  (704)414-2881

      Email:      lori@frontiercapital.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

         

Hatteras Venture Partners IV SBIC, LP

         

      Douglas Reed, M.D.

      280 South Mangum Street, Suite 350

      Durham, NC  27701

      Phone:      (919)484-0730     Fax:  (919)484-0364

      Email:      doug@hatterasvp.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

         

 

Kian Mezzanine Partners I, L.P.

         

      Kevin McCarthy

      4720 Piedmont Row Drive, Suite 421

      Charlotte, NC  28211

      Phone:      (704)943-2501     Fax:  (704)943-4457

      Email:      cedmondson@kiancapital.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

         

Mosaic Capital Investors I, LP

         

      H. Dabney Smith

      101 South Tryon St

      Suite 2620

      Charlotte, NC  28280-

      Phone:      (919)636-6164

      Email:      mosaic-cp.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 Carolina

North Carolina Economic Opportunities Fund, L.P.

         

      H. Dabney Smith, Contact

      PO Box 6386

      Raleigh, NC  27628-

      Phone:      (919)610-8252

      Email:      dsmith@dogwoodequity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Preferred Stock

         

      FUNDING STAGE REFERENCES

      Buyout transactions

      Late Stage Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Business Services

      Consumer Products

         

      GEOGRAPHIC PREFERENCES

      Southeastern

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Control investments in companies that will

      typically have $5 million  to $50 million

      of existing revenues and are profitable.

         

 

Plexus Fund I, L.P.

         

      4601 Six Forks Road, Suite 528

      Raleigh, NC  27609

      Phone:      (919)256-6341     Fax:  (919)256-3650

         

      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

         

Plexus Fund I, L.P.

         

      Rhonda Penn, CFO, Contact

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (919)253-6355     Fax:  (704)927-6255

      Email:      banders@plexuscap.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

         

 

Plexus Fund II, L.P.

         

      4601 Six Forks Road, Suite 528

      Raleigh, NC  27609

      Phone:      (919)256-6342     Fax:  (919)256-6350

         

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

          

Plexus Fund II, L.P.

         

      Rhonda Penn. CFO, Contact

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (919)256-6355     Fax:  (704)927-6255

      Email:      banders@plexuscap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Growth, acquisition

      LBO, recaps

         

      FUNDING STAGE REFERENCES

      Later

         

      INDUSTRY PREFERENCE

      N/A

         

      GEOGRAPHIC PREFERENCES

      Southeast and

      Middle Atlantic

         

      DESCRIPTION OF FIRM'S FOCUS

      Provide growth capital to middle market

      companies through investments in

      subordinated debt and preferred equity

      securities.

         

 

Plexus Fund III, L.P.

         

      Robert Anders

      200 Providence Road, Suite 210

Charlotte, NC  28207

      Phone:      (704)927-6246     Fax:  (704)927-6255

      Email:      ronda@plexuscap.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

         

Plexus Fund QP III, L.P.

         

      Robert Anders

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (704)927-6246     Fax:  (704)927-6255

      Email:      banders@plexuscap.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

         

 

Salem Investment Partners III, Limited Partnership

         

      Philip W. Martin

      1348 Westgate Center Drive, Suite 100

      P.O. Box 25684

      Winston-Salem, NC  27114

      Phone:      (336)245-4725     Fax:  (888)670-9182

      Email:      pmartin@salemip.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Growth, acquisition, MBO, LBO

      recaps

         

      FUNDING STAGE REFERENCES

      Later stage

         

      INDUSTRY PREFERENCE

      No preference

         

      GEOGRAPHIC PREFERENCES

      Southeast, Mid-Atlantic

      Midwest

         

      DESCRIPTION OF FIRM'S FOCUS

      Provide patient growth capital to middle

      market companies by investing in

      subordinated debt and equity warrants.

         

 

SJF Ventures III, LP

         

      David A. Kirkpatrick

      200 N. Mangum Street, Suite 203

      Durham, NC  27701

      Phone:      (919)530-1177     Fax:  (919)530-1178

      Email:      dkirk@sjfventures.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

         

Triangle Mezzanine Fund II, LP

         

      Brent Burgess, Contact

      3700 Glenwood Avenue, Suite 530

      Raleigh, NC  27612

      Phone:      (919)719-4788     Fax:  (919)719-4777

      Email:      bburgess@tcap.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

         

 

Triangle Mezzanine Fund LLLP

         

      Brent Burgess, Contact

      3700 Glenwood Avenue, Suite 530

      Raleigh, NC  27612

      Phone:      (919)719-4788     Fax:  (919)719-4777

      Email:      bburgess@tcap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      Equity, equity co-investments,

      first & 2nd lien, unitranche.

         

      FUNDING STAGE REFERENCES

      Later stage companies

      needing capital for buy-

      outs, recapitalizations,

      acquisitions or growth.

         

      INDUSTRY PREFERENCE

      Diverse

         

      GEOGRAPHIC PREFERENCES

      Throughout United States

         

      DESCRIPTION OF FIRM'S FOCUS

      We focus on investments in lower middle

      market companies with a history of

      generating revenues and positive cash flows,

      an established market position, and a proven

      management team with a strong operating

      discipline.

         

 

North Dakota

   

North Dakota SBIC, L.P.

         

      John G. Cosgriff, Manager

      51 Broadway, Suite 400

      Fargo, ND  58102

      Phone:      (701)298-0003     Fax:  (701)293-7819

         

      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

         

 

Ohio

   

Enterprise Ohio Investment Company   (SSBIC)

         

      Janet White, Manager

      8 North Main Street

      Dayton, OH  45402

      Phone:      (937)853-2541     Fax:  (937)222-7035

      Email:      jwhite@citywidedev.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $50,000

      Preferred Max:    $100,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Loan Investments

         

      FUNDING STAGE REFERENCES

      Expansion

      Later Stage

      Franchise

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southwest

      Ohio

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

NCT Ventures Fund II, L.P.

         

      Micahel C. Butler

      274 Marconi Blvd., Suite 400

      Columbus, OH  43215

      Phone:      (614)794-2732     Fax:  (614)228-2737

      Email:      michael.butler@nctventures.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

         

Northcreek Mezzanine Fund I, L.P.

         

      Rodger Davis, Managing Partner

      255 East Fifth Street, Suite 3010

      Cincinnati, OH  45202

      Phone:      (513)985-6600     Fax:  (513)985-6603

      Email:      Rodger Davis <rdavis@northcreekmezzanine.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

         

 

Northcreek Mezzanine Fund II, L.P.

         

      Rodger Davis

      255 East 5th Street, Suite 3010

      Cincinnati, OH  45202

      Phone:      (513)985-6600     Fax:  (513)985-6603

      Email:      rdavis@northcreekmezzanine.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

         

 

Peppertree Capital Fund, L.P.

         

      Cyndi Debevec

      86 West Street

      Chagrin Falls, OH  44022

      Phone:      (440)528-0338     Fax:  (440)528-0334

      Email:      cdebevec@peppertreecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE REFERENCES

      Later state growth equity

      Recapitalizations

      Buyouts

         

      INDUSTRY PREFERENCE

      Media

      Telecommunications

      Business Services

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

      We seek non-technology investments in our

      target industries.  We prefer investments

      with recurring revenue, non-IPO exit

      strategies and asset protection (e.g., FCC

      licenses) on the downside.

         

 

River Cities Financial Institutions Fund V, L.P.

   

      Daniel T. Fleming

      221 East Fourth Street, Suite 2240

      Cincinnati, OH  45202

      Phone:      (513)621-9700     Fax:  (513)579-8939

      Email:      dfleming@rccf.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

         

River Cities SBIC III, L.P.

         

      Edwin T. Robinson, Contact

      221 East Fourth Street, Suite 2400

      Cincinnati, OH  45202

      Phone:      (513)621-9700     Fax:  (513)579-8939

      Email:      trobinson@rccf.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $7,500,000

         

      TYPE OF CAPITAL PROVIDED

      Preferred Equity

         

      FUNDING STAGE REFERENCES

      Expansion

         

      INDUSTRY PREFERENCE

      Healthcare or

      Information Technology

         

      GEOGRAPHIC PREFERENCES

      Midwest and Southwest

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Stonehenge Opportunity Fund II, L.P.

         

      B. Michael Affinito, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2582

      Email:      bmaffinito@stonehengepartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Non-Control Equity

      Control Equity

         

      FUNDING STAGE REFERENCES

      Management

      leveraged buyouts

      Acquisitions

      Recapitalizations

      Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Business Services

      Health Care Companies

         

      GEOGRAPHIC PREFERENCES

      Midwest United States

      investment focus with

      national scope.

         

      DESCRIPTION OF FIRM'S FOCUS

      Private Equity firm focused on investing

      mezzanine and structured equity capital in

      quality, middle-market companies located

      throughout the United States.

         

 

Stonehenge Opportunity Fund III, L.P.

         

      Peter G. Davies, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2431

      Email:      pgdavies@stonehengepartners.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

         

Stonehenge Opportunity Fund III-B, L.P.

         

      Peter G. Davies, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2431

      Email:      pgdavies@stonehengepartners.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

         

 

Triathlon Medical Ventures Fund LP

         

      Suzette L. Dutch, Contact

      300 E-Business Way, Suite 200

      Cincinnati, OH  45241

      Phone:      (513)723-2600     Fax:  (513)247-6199

      Email:      sdutch@tmvp.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

         

 

Oklahoma

   

Council Oak Investment Corporation

         

      William O. Johnstone - Manager

      101 North Broadway

      Suite 400

      Oklahoma City, OK  73102

      Phone:      (405)218-4696     Fax:  (405)218-4672

      Email:      wmojohnstone@gmail.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE REFERENCES

      Early Stage

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Oklahoma

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Pennsylvania

   

Argosy Investment Partners III, L.P.

         

      Michael Bailey,  Manager

      950 West Valley Road, Suite 2900

      Wayne, PA  19087

      Phone:      (610)971-9685     Fax:  (610)964-9524

      Email:      michael@argosycapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine & Equity

         

      FUNDING STAGE REFERENCES

      Later, Buyouts, Recaps

         

      INDUSTRY PREFERENCE

      Manufacturing &

      Service companies

         

      GEOGRAPHIC PREFERENCES

      Eastern United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Argosy III is fully invested and invested

      both mezzanine and equity in lower

      middle market companies across a broad

      range of industries.

         

 

Argosy Investment Partners IV, L.P.

         

      Kirk B. Griswold, Manager

      950 West Valley Road, Suite 2900

      Wayne, PA  19087

      Phone:      (610)971-9685     Fax:  (610)964-9524

      Email:      kirk@argosycapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $9,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine & Equity

      Equity/debt-50/50

      1 tier of leverage

         

      FUNDING STAGE REFERENCES

      Buyouts, Later-stage

      Recaps

      Mgmt fees basis- RC

         

      INDUSTRY PREFERENCE

      Engineered Materials,

      Industrial Electronics,

      Industrial Manufacturing,

      Industrial Services, Aviation,

      Services, Busi. Franchising.

         

      GEOGRAPHIC PREFERENCES

      United States (with an

      eastern preference).

         

      DESCRIPTION OF FIRM'S FOCUS

      Argosy IV invests in mezzanine and equity

      in companies with minimum revenue of

      $15 million and positive cash flow.  Use of

      funds include buyouts, acquisitions, and

      expansion.

         

 

Boathouse Capital LP

         

      Kenneth E. Jones, Contact

      200 West Lancaster Avenue, Suite 206

      Wayne, PA  19087

      Phone:      (610)977-2787     Fax:  (610)688-3410

      Email:      ken.jones@boathousecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezz. loans of 5-7 yrs in dur-

      ation & equity co-investments

      alongside the mezz. loans.

         

      FUNDING STAGE REFERENCES

EBITDA positive of least

      $2,000,000.

         

      INDUSTRY PREFERENCE

      None, we're generalist

      investors.

         

      GEOGRAPHIC PREFERENCES

      Nationwide

         

      DESCRIPTION OF FIRM'S FOCUS

      Good lower middle market companies who have

      a niche or a strong reason to exist.

         

 

CIP Capital L.P.

         

      Bobby Yablunksy

      1200 Liberty Ridge Drive

      Suite 300

      Wayne, PA  19087

      Phone:      (610)964-7875     Fax:  (610)964-8136

      Email:      byablu01@scppartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $250,000

      Preferred Max:    $1,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Debt

         

      FUNDING STAGE REFERENCES

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Life Sciences

      Communications

      Financial Services

         

GEOGRAPHIC PREFERENCES

      East Coast

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

F.N.B. Capital Partners, L.P.

         

      Stephen J. Gurgovits, Jr.

      6031 Wallace Road Extension, Suite 201

      Wexford, PA  15090

      Phone:      (724)602-4401     Fax:  (412)945-5905

      Email:      SGurgovits@FNBCP.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

         

 

Meridian Venture Partners II, L.P.

         

      Robert E. Brown, Jr., Contact

      259 North Radnor-Chestor Road

      Suite 130

      Radnor, PA  19087

      Phone:      (610)254-2999     Fax:  (610)254-2996

      Email:      rbroderick@meridian-venture.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Buyout and growth equity

         

      FUNDING STAGE REFERENCES

      Later stage

         

      INDUSTRY PREFERENCE

      Diversified: including

      aviation, manufacturing,

      healthcare, business services

      and specialty retail

         

      GEOGRAPHIC PREFERENCES

      Eastern and Central

      Time Zones

         

      DESCRIPTION OF FIRM'S FOCUS

      Lower-middle-market companies with

      exceptional growth potential.

         

 

Merion Investment Partners II, L.P.

         

      Gayle G. Hughes, Contact

      555 E. Lancaster Avenue

      Suite 500

      Radnor, PA  19087

      Phone:      (610)230-0880     Fax:  (610)945-1654

      Email:      ghughes@merionpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      PIK interest or

      Equity co-invest

         

      FUNDING STAGE REFERENCES

      Capital for growth and

      change of control.

         

      INDUSTRY PREFERENCE

      Business services

      Specialty manufacturing

      Technology and

      Healthcare products and

      services.

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Merion works with both private and equity

      groups as well as entrepreneurs to finance

      acquisitions, organic growth and change of

      control.

         

 

Merion Investment Partners, L.P.

         

      William M. Means, Contact

      555 E. Lancaster Avenue

      Suite 500

      Radnor, PA  19087

      Phone:      (610)230-0880     Fax:  (610)945-1654

      Email:      ghughes@merionpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt w/warrants

      PIK interest or

      Equity co-invest

         

      FUNDING STAGE REFERENCES

      Capital for growth and

      change of control

         

      INDUSTRY PREFERENCE

      Business services

      Specialty manufacturing

      Technology and

      Healthcare products and

      services.

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Merion works with both private equity

      groups as well as entrepreneurs to

      finance acquisitions, organic growth and

      change of control.

         

 

NewSpring Mezzanine Capital II, L.P.

         

      Johnathan Schwartz, Contact

      555 East Lancaster Avenue, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2387     Fax:  (610)567-2388

      Email:      jschwartz@newspringventures.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

         

 

NewSpring Mezzanine Capital, L.P.

         

      Marc Lederman, Contact

      Radnor Financial Center

      555 E. Lancaster Ave, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2380     Fax:  (610)567-2388

      Email:      marc@newspringventures.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinate Debt w/warrants

      Equity

      Loans

         

      FUNDING STAGE REFERENCES

      Primarily Growth and

      Expansion Financing

      Recapitalizations

      Buyout Financing

         

      INDUSTRY PREFERENCE

      Late-stage technology

      Business services

      Specialty manufacturing

      Healthcare services in the

      lower middle market.

         

      GEOGRAPHIC PREFERENCES

      East Coast

      Primarily Mid-Atlantic

      Region

         

      DESCRIPTION OF FIRM'S FOCUS

      NewSpring Mezzanine leverages the NewSpring

      family of private equity funds and partner

      relationships to source and underwrite both

      sponsored and unsponsored transactions ac-

      ross diversified industries and economic

      cycles.

         

 

NewSpring Ventures, L.P.

         

      Michael DiPiano, Managing  G P

      Radnor Financial Center

      555 E. Lancaster Ave, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2387     Fax:  (610)567-2388

      Email:      marc@newspringventures.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

         

Renovus Capital Partners, L.P.

         

      Atif Gilani

      308 East Lancaster Avenue

      Wynnewood, PA  19096

      Phone:      (646)660-4040     Fax:  (610)896-3083

      Email:      SBACommunications@renovuscapital.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

         

 

Rhode Island

   

BCA Mezzanine Fund II, L.P.

         

      Gregory F. Mulligan, Managing Member

      One Turks Head Place

Suite 1492

      Providence, RI  02903

      Phone:      (401)228-3834     Fax:  (401)228-3835

      Email:      greg@baycapllc.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

         

BCA Mezzanine Fund, L.P.

         

      Gregory F. Mulligan, Managing Member

      One Turks Head Place

      Suite 1492

      Providence, RI  02903

      Phone:      (401)228-3834     Fax:  (401)228-3835

      Email:      Greg@baycapllc.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

         

 

Tennessee

   

CCSD II, L.P.

         

      R. Burton Harvey

      30 Burton Hills Blvd., Suite 100

      Nashville, TN  37215

      Phone:      (615)690-7183     Fax:  (615)690-7183

      Email:      bharvey@capfunds.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

         

Claritas Capital Specialty Debt Fund, L.P.

         

      R. Burton Harvey, Contact

      30 Burton Hills Boulevard, Suite 100

      Nashville, TN  37215

      Phone:      (615)690-7183     Fax:  (615)690-7183

      Email:      bharvey@capfunds.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

         

 

Harbert Mezzanine Partners II SBIC, L.P.

         

      Pryor Smartt, Contact

      618 Church Street, Suite 500

      Nashville, TN  37219-

      Phone:      (615)301-6395     Fax:  (615)301-6401

         

      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

         

Petra Growth Fund II, L.P.

         

      Robert A. Smith, Contact

      3825 Bedford Avenue

      Suite 101

      Nashville, TN  37215

      Phone:      (615)313-5999     Fax:  (615)313-5990

      Email:      ras@petracapital.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

         

 

Petra Growth Fund III, L.P.

         

      Robert A. Smith

      3825 Bedford Avenue, Suite 101

      Nashville, TN  37215

      Phone:      (615)313-5997     Fax:  (615)313-5990

      Email:      ras@petracapital.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

         

Pharos Capital Partners II, L.P.

         

      Kneeland Youngblood, Contact

      8 Cadillac Dr., Suite 180

      Brentwood, TN  37027-

      Phone:      (615)234-5522     Fax:  (615)263-0234

      Email:      jgoldberg@pharosfunds.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE REFERENCES

         

      INDUSTRY PREFERENCE

      2% management fee

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Pharos Capital Partners III-A, L.P.

         

      Kneeland Youngblood

      8 Cadillac Dr., Suite 180

      Brentwood, TN  37027-

      Phone:      (615)234-5522     Fax:  (615)263-0234

      Email:      jgoldberg@pharosfunds.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

         

Tenth Street Fund III, L.P.

         

      Bill Nutter

      30 Burton Hills Blvd, Suite 350

      Nashville, TN  37215

      Phone:      (615)665-3636     Fax:  (615)665-3896

      Email:      bill@tenthstreetcapital.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

         

 

Texas

   

BA Capital Company, L.P.

         

      Doug Williamson, Sr. Vice President

      5207 McKinney Ave, Suite 21

      Dallas, TX  75205-

      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 REFERENCES

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Banc of America Capital Investors SBIC, L.P.

         

      5207 McKinney Ave, Suite 21

      Dallas, TX  75205-

         

      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

         

 

Blue Sage Capital II, L.P.

         

      Peter J. Huff

      114 West 7th Street, Suite 820

      Austin, TX  78701

      Phone:      (512)536-1901     Fax:  (512)236-9215

      Email:      peter.huff@bluesage.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

         

 

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 REFERENCES

      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

      Oklahoma

      Arkansas

      Louisiana

         

      DESCRIPTION OF FIRM'S FOCUS

      Manufacturers, distributions, 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 REFERENCES

         

      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:      tmorris@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

         

      FUNDING STAGE REFERENCES

      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

      Capital Southwest has the flexibility to

      hold investments indefinitely, which has

      provided its managers a stable ownership

      platform since its founding in 1961.  For

      more info., visit the company's website @

      www.capitalsouthwest.com.

         

 

Dos Rios Partners - A, L.P.

         

      Pat McKinney Baskin, Jr.

      205 Wild Basin Road S.

      Building 3, Suite 100

      Austin, TX  78746

      Phone:      (512)298-0801     Fax:  (512)298-0810

      Email:      kevin.benoit@dosriospartners.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

         

Dos Rios Partners, L.P.

         

      Pat McKinney Baskin, Jr.

      205 Wild Basin Road S.

      Building 3, Suite 100

      Austin, TX  78746

      Phone:      (512)298-0801     Fax:  (512)298-0810

      Email:      kevin.benoit@dosriospartners.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

         

 

Escalate Capital Partners SBIC I, L.P.

         

      Tony Schell, Contact

      300 West 6th Street, Suite 2300

      Austin, TX  78701

      Phone:      (512)651-2105     Fax:  (512)651-2101

      Email:      SBIC@escalatecapital.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

         

 

Independent Bankers Capital Fund II, L.P.

         

      Tom Hoyt, Contact

      1700 Pacific Avenue, Suite 2740

      Dallas, TX  75201

      Phone:      (214)722-6200     Fax:  (214)722-6220

      Email:      thoyt@ibcfund.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

      Equity

         

      FUNDING STAGE REFERENCES

      Expansion:  25%

      Later:  50%

      Change of control: 25%

         

      INDUSTRY PREFERENCE

      Diversified: no industry with

      more than 25% of the portfolio

         

      GEOGRAPHIC PREFERENCES

      Texas >70%

      Southwest <30%

         

      DESCRIPTION OF FIRM'S FOCUS

      Revenue: up to $10M

      EBITDA: up to $2M

         

 

Independent Bankers Capital Fund, L.P.

         

      Barry Conrad, Tom Hoyt, Contacts

      1700 Pacific Avenue, Suite 2740

      Dallas, TX  75201

      Phone:      (214)722-6200     Fax:  (214)722-6220

      Email:      mtaylor@independentbankerscap.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 growth

      Acquisition and expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Texas

      Southwest

         

      DESCRIPTION OF FIRM'S FOCUS

      Investment strategy focused upon financings

      of lower-middle-market companies with proven

      operating histories located within the

      Southwestern United States.

         

 

LiveOak Venture Partners IA, L.P.

         

      Venu Shamapant

      805 Las Cimas Parkway, Suite 125

      Austin, TX  78746

      Phone:      (512)413-5886     Fax:  (512)900-7977

      Email:      venu@liveoakvp.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

         

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:    $2,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE REFERENCES

      Expansion

      Buyout

      Recapitalization

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southwest, Gulf Coast

         

      DESCRIPTION OF FIRM'S FOCUS

      Expansion or Transaction Financing.

         

 

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:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE REFERENCES

      Expansion

      Buyout

      Recapitalization

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southwest, Gulf Coast

         

      DESCRIPTION OF FIRM'S FOCUS

      Expansion or Transaction Financing.

      Samll concerns with cash flow positive

         

 

Parallel Investment Opportunity Partners II L.P.

         

      Andrei Dorenbaum

      1000 Main Street, Suite 2500

      Houston, TX  77002

      Phone:      (713)209-7365     Fax:  (713)209-7351

      Email:      adorenbaum@capitalroyalty.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

         

Stellus Capital SBIC LP

         

      Dean D'Angelo

      4400 Post Oak Parkway, Suite 2200

      Houston, TX  77027

      Phone:      (713)292-5403     Fax:  (713)292-5450

      Email:      dangelo@stelluscapital.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

         

 

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 REFERENCES

      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

      Georgia, Kentucky

      New Mexico

      Louisiana, Florida

         

      DESCRIPTION OF FIRM'S FOCUS

      manufacturing, distribution and services

         

 

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 REFERENCES

      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.

         

 

Valesco Commerce Street Capital, L.P.

         

      Daniel H. Moore, Contact

      325 North St. Paul, Suite 3200

      Dallas, TX  75201

      Phone:      (214)880-8690     Fax:  (214)880-8646

      Email:      bmoore@valescoind.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $7,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

      Equity

         

      FUNDING STAGE REFERENCES

      Expansion

      Acquisition

      Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Service

         

      GEOGRAPHIC PREFERENCES

      South-Central, U.S.

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Utah

   

EPIC Venture Fund IV, LLC

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

Pelion Ventures V Financial Institutions Fund, LP

         

      James Dreyfous

      2755 E. Cottonwood Parkway, Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-0262     Fax:  (801)365-0233

Email:      jdreyfous@pelionvp.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

         

 

Utah Ventures III, L.P.

         

      Jaquie McKay, Contact

      2755 E. Cottonwood Parkway

      Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-0262     Fax:  (801)365-0233

      Email:      jaquie@pelionvp.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Bridge loans

         

      FUNDING STAGE REFERENCES

      Early Stage

         

      INDUSTRY PREFERENCE

      Software, SAS

      Digital Media

      Networking/ Telecomm

      Security

      Medical Devices

         

      GEOGRAPHIC PREFERENCES

      Utah

      Mountain West

California

         

      DESCRIPTION OF FIRM'S FOCUS

      Find and help develop early state high

      growth companies in software, services,

      networking, security, digital media,

      infrastructure, telecommunications and

      medical devices.

         

 

UTFC Fund II, LLC

         

      Scott Stenberg, Managing Director

      268 S. State Street, Ste 260

      Salt Lake City, UT  84111-

      Phone:      (801)741-4200     Fax:  (801)741-4249

      Email:      scott@innoventures.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $500,000

         

      TYPE OF CAPITAL PROVIDED

      Debt

         

      FUNDING STAGE REFERENCES

      Early growth

         

      INDUSTRY PREFERENCE

      Technology and service

         

      GEOGRAPHIC PREFERENCES

      Utah and surrounding

      states

         

      DESCRIPTION OF FIRM'S FOCUS

      Companies that have seen an acceptance of

      their product and need working capital to

      continue to grow sales.

         

UV Partners IV Financial Institutions Fund, L.P.

         

      James Dreyfous, Contact

      2755 East Cottonwood Parkway, Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-3262     Fax:  (801)365-0233

      Email:      jaquie@uvpartners.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

         

 

vSpring III D, L.P.

         

      Scott Petty, Contact

      2795 E. Cottonwood Parkway, Suite 360

      Salt Lake City, UT  84121

      Phone:      (801)942-8999     Fax:  (801)942-1636

      Email:      travis@vspring.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

         

vSpring SBIC, L.P.

         

      Travis Heath, Contact

      2795 E. Cottonwood Parkway, Suite 360

      Salt Lake City, UT  84121

      Phone:      (801)942-8999     Fax:  (801)942-1636

      Email:      travis@signalpeakvc.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

         

 

Wasatch Venture Fund II, LLC

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8936     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

Wasatch Venture Fund III, L.L.C.

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

 

Zions SBIC, L.L.C.

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

 

Virginia

   

BIA Digital Partners SBIC II LP

         

      Lloyd Sams, Contact

      15120 Enterprise Court, Suite 200

      Chantilly, VA  20151

      Phone:      (703)227-9600     Fax:  (703)227-9645

      Email:      lsams@bia.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

         

 

Gladstone SSBIC Corporation   (SSBIC)

         

      David Watson, CFO

      1521 Westbranch Drive, Suite 200

      McLean, VA  22102

      Phone:      (703)287-5860     Fax:  (703)287-5801

      Email:      david.watson@gladstonecompanies.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $250,000

      Preferred Max:    $1,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE REFERENCES

      Growth

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      North

      South

      Midwest

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Leeds Novamark Capital I, L.P.

         

      Mark Raterman

      Plaza America Tower II

      11710 Plaza America Drive, Suite 160

      Reston, VA  20190-

      Phone:      (703)651-2149     Fax:  (703)651-2149

      Email:      raterman@leedsnovamark.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

         

 

Solutions Capital I, L.P.

         

      Hagen Saville, Contact

      1001 19th Street North, 10th Floor

      Arlington, VA  22209

      Phone:      (703)247-7500     Fax:  (703)247-7505

      Email:      hsaville@mcgcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $19,500,000

         

      TYPE OF CAPITAL PROVIDED

      Debt in support of buyouts and

      recapitalizations

         

      FUNDING STAGE REFERENCES

      Late Stage

         

      INDUSTRY PREFERENCE

      Diverse

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Experience in light manufacturing, business

      services, recurring revenue industries,

      software, media, information services,

      education, healthcare, telecom.

         

 

Virginia Capital SBIC, L.P.

         

      Frederick Russell & Tom Deardorff, Mgrs.

      1801 Libbie Avenue, Suite 201

      Richmond, VA  23226

      Phone:      (804)648-4802     Fax:  (804)648-4809

      Email:      fred@vacapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $4,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE REFERENCES

      Growth

         

      INDUSTRY PREFERENCE

      Health care, media,

      communications, insurance,

      and other business and

      consumer services.

         

      GEOGRAPHIC PREFERENCES

      Southeastern U.S.

         

      DESCRIPTION OF FIRM'S FOCUS

      www.vacapital.com/inv_type

         

Arkansas

SBIC Licensees Located in Arkansas on July 10, 2014

   

Diamond State Ventures II, L.P.

         

      Joe T. Hays, Managing Director

      200 River Market Avenue

      Suite 400

      Little Rock, AR  72201

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Diamond State Ventures III, L.P.

         

      Joe T. Hays, Managing Director

      200 River Market Avenue

      Suite 400

      Little Rock, AR  72201

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

SBIC Licensees Located in Arizona on July 10, 2014

   

Grayhawk Venture Fund I, L.P.

         

      Sherman Chu, Contact

      5050 N 40th Street, Suite 380

      Phoenix, AZ  85018

      Phone:      (602)956-8700     Fax:  (602)956-8080

      Email:      schu@grayhawkcapital.us

         

      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

         

Grayhawk Venture Fund II, L.P.

         

      Sherman Chu

      5050 N 40th St., Ste 380

      Phoenix, AZ  85018-

      Phone:      (602)956-8700     Fax:  (602)956-8080

      Email:      schu@grayhawkcapital.us

         

      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

         

 

Trinity Capital Fund II, L.P.

         

      Steven L. Brown

      2121 Chandler Blvd., Suite 103

      Chandler, AZ  85224

      Phone:      (480)374-5350     Fax:  (480)247-5099

      Email:      sbic@trincapinvestment.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

         

SBIC Licensees Located in California on July 10, 2014

   

Alpine Investors IV SBIC, LP

         

      Tara Baker, Contact

      3 Embarcadero Center, Suite 2330

      San Francisco, CA  94111

      Phone:      (415)591-1323     Fax:  (415)392-9101

      Email:      tbaker@alpine-investors.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $10,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Avante Mezzanine Partners SBIC, L.P.

         

      Clifford A. Lyon, Contact

      11150 Santa Monica Blvd., Suite 1470

      Los Angeles, CA  90025

      Phone:      (310)667-9242     Fax:  (310)728-1755

      Email:      clyon@avantemezzanine.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $6,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt 87%;

      Equity 13%,

         

      FUNDING STAGE PREFERENCE

      Change of control 50%

      Later Sage 40%;

      Expansion 10%

         

      INDUSTRY PREFERENCE

      Services 45%; Technology 5%;

      Life Science 5%;Manufacturing 10%;

      Mark Spellman

         

      GEOGRAPHIC PREFERENCES

      California 50%

      other Western U.S. 50%

         

      DESCRIPTION OF FIRM'S FOCUS

      2 tiers of debenture leverage

         

 

Celerity Partners SBIC, L.P.

         

      Clifford A. Lyon, Contact

      11150 Santa Monica Boulevard, Suite 1470

      Los Angeles, CA  90025

      Fax:  (310)728-1755

      Email:      kraus@celeritypartners.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

         

Central Valley Fund II (SBIC), LP (The)

         

      Edward F. McNulty

      1590 Drew Avenue, Suite 110

      Davis, CA  95618

      Phone:      (530)757-7004     Fax:  (530)757-1316

      Email:      emcnulty@centralvalleyfund.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

         

 

Champlain Capital Partners II, L.P.

         

      Dennis M. Leary, Contact

      One Post Street

      Suite 925

      San Francisco, CA  94104

      Phone:      (415)288-4181     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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Champlain Capital Partners, L.P.

         

      Dennis M. Leary, Contact

      One Post Street

      Suite 925

      San Francisco, CA  94104

      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 PREFERENCE

         

      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@emcap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      First Institutional Round

         

      INDUSTRY PREFERENCE

      Technology

         

      GEOGRAPHIC PREFERENCES

      Nationwide

         

      DESCRIPTION OF FIRM'S FOCUS

      Technology Software and Services

         

Hercules Technology II, L.P.

         

      Dorian Momsen, Contact

      400 Hamilton Avenue, Suite 310

      Palo Alto, CA  94301

      Phone:      (650)289-3072     Fax:  (650)473-9194

      Email:      dmomsen@herculestech.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

         

 

Hercules Technology III, LP

         

      Dorian Momsen, Contact

      400 Hamilton Avenue, Suite 310

      Palo Alto, CA  94301

      Phone:      (650)289-3072     Fax:  (650)473-9194

      Email:      dmomsen@herculestech.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

         

Invision Capital I, L.P.

         

      26 Orange Blossom Circle, Suite 10

      Ladera Ranch, CA  92694

         

      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

         

 

Labrador Ventures V-B, L.P.

         

      Sean Foote, Contact

      535 Middlefield Road, Suite 190

      Menlo Park, CA  94025

      Phone:      (650)366-6000     Fax:  (650)366-6430

      Email:      lkubal@labrador.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

         

Levine Leichtman Capital Partners SBIC Fund, L.P.

         

      Steven E. Hartman, Contact

      335 North Maple Drive, Suite 130

      Beverly Hills, CA  90210

      Phone:      (310)275-5335     Fax:  (310)275-335

      Email:      shartman@llcp.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

         

 

Multiplier Capital, LP

         

      Ray Boone

      815 Moraga Drive

      Los Angeles, CA  90049-

         

      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

         

Pivotal Capital Fund, LP

         

      Renee Baker

      2882 Sand Hill Road, Suite 100

      Menlo Park, CA  94025

      Phone:      (650)233-5402     Fax:  (650)299-9494

      Email:      renee@pivotalcp.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

         

 

Rembrandt Venture Partners II, L.P.

         

      Gerald S. Casilil, Contact

      2440 Sand Hill Road, Suite 100

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Shepherd Ventures II, L.P.

         

      George C. Kenney, Contact

      11696 Sorrento Valley Road, Suite 203

      San Diego, CA  92121

      Phone:      (858)509-4744     Fax:  (858)509-3662

      Email:      tom@shepherdventures.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

         

 

Silver Lake Waterman Fund, L.P.

         

      Thomas Conneely, VP Operations

      2775 Sand Hill Road

      Suite 100

      Menlo Park, CA  94025

      Phone:      (415)525-8705     Fax:  (415)293-4365

      Email:      Tom.Conneely@SilverLake.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

         

TCPC SBIC, LP

         

      Rajneesh Vig

      2051 28th Street, Suite 1000

      Santa Monica, CA  90405

      Phone:      (310)566-1041     Fax:  (310)899-4950

      Email:      Raj.Vig@TennenbaumCapital.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

         

 

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:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Equity capital

         

      FUNDING STAGE PREFERENCE

      Companies are already

      commercial with revenues

      Capital to be used for

      growth.

         

      INDUSTRY PREFERENCE

      Life sciences, healthcare,

      medical devices, diagnostics,

      chemistries, healthcare IT,

      animal health, plant science

         

      GEOGRAPHIC PREFERENCES

      Throughout U.S.

         

      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 if not already

      profitable.

         

 

Ticonderoga SBIC, L.P.

         

      258 Hamilton Avenue, 3rd Floor

      Palo Alto, CA  94301

         

      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

         

Tregaron Opportunity Fund I, L.P.

         

      Todd Collins, Contact

      300 Hamilton Ave., 4th Floor

      Palo Alto, CA  94301

      Phone:      (650)403-2084     Fax:  (650)618-2550

      Email:      collins@tregaroncapital.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

         

 

Walden Venture Capital VIII SBIC, L.P.

         

      Art Berliner

      750 Battery Street, 7th Floor

      San Francisco, CA  94111

      Phone:      (415)273-4242     Fax:  (415)391-7262

      Email:      art@waldenvc.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

         

Colorado

SBIC Licensees Located in Colorado on July 10, 2014

   

   

There are no SBIC Licensees currently located in Colorado

Connecticut

SBIC Licensees Located in Connecticut on July 10, 2014

   

Balance Point Capital Partners, L.P.

         

      Seth W. Alvord, Contact

      8 Church Lane, Suite 200

      Westport, CT  06880

      Phone:      (203)652-8260     Fax:  (203)716-9828

      Email:      salvord@balancepointcapital.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 Mezzanine Fund II, L.P.

         

      David D. Buttolph, Corey Sclar, Contact

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $4,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

         

      FUNDING STAGE PREFERENCE

      Later; revenues over

      $15,000,000.

         

      INDUSTRY PREFERENCE

      None

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      The firm takes a long-term partnership based

      approach to our mezzanine investments.  We

      focus on middle market manufacturing,

      businesses services, consumer products and

      healthcare companies nationwide.

         

 

Brookside Mezzanine Fund III, L.P.

         

      David D. Buttolph

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.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

      201 Tresser Boulevard, Suite 330

      Stamford, CT  06901-3435

      Phone:      (203)595-4530     Fax:  (203)618-0984

      Email:      dbuttolph@BrooksideEquity.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.

         

 

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 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.

         

      Daniel J. O'Brien, Contact

      130 Main Street

      New Canaan, CT  06840

      Phone:      (203)716-6140     Fax:  (203)716-6206

      Email:      dobrien@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 Mezzanine Fund II LP

         

      Marc A. Reich, Contact

      45 Nod Road

      Avon, CT  06001

      Phone:      (860)409-2101     Fax:  (860)409-2120

      Email:      reich@ironwoodcap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      Preferred Stock

         

      FUNDING STAGE PREFERENCE

      Later Stage

         

      INDUSTRY PREFERENCE

      Business Services

      Value-Added Manufacturing

      Environmental Services

      Recurring Rev.  Businesses

         

      GEOGRAPHIC PREFERENCES

      East  of the

      Mississippi River

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Ironwood Mezzanine Fund III-A LP

         

      Marc A. Reich, Contact

      45 Nod Road

      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

         

 

MSR I SBIC, L.P.

         

      Daniel A. Levinson

      One Morningside Drive North

      Building B, 2nd Floor

      Westport, CT  06880

      Phone:      (203)227-5320     Fax:  (203)227-5312

      Email:      mr@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,

      Massachusetts

         

      DESCRIPTION OF FIRM'S FOCUS

      value approach, no industry focus

         

 

New Canaan Funding Mezzanine V SBIC, LP

         

      Mark Thies

      21 Locust Avenue, Suite 1C

      New Canaan, CT  06840

      Phone:      (203)966-1071     Fax:  (203)966-1081

      Email:      mthies@newcanaanfunding.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

         

Southfield Mezzanine Capital LP

         

      Steven A. Axel

      53 Greenwich Avenue, 2nd Floor

      Greenwich, CT  06830

      Phone:      (203)813-4100     Fax:  (203)813-4141

      Email:      saxed@southfieldcapital.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

         

SBIC Licensees Located in District of Col. on July 10, 2014

   

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

McLarty Capital Partners SBIC, L.P.

         

      Christopher D. Smith

      900 Seventeenth Street, NW, Suite 800

      Washington, DC  20006

      Phone:      (202)419-7098     Fax:  (202)419-1421

      Email:      SBA@mclartycapital.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

         

SBIC Licensees Located in Delaware on July 10, 2014

   

Innovation Ventures, L.P.

         

      David J. Freschman, Contact

      1601 Concord Pike, Suite 8284

      Wilmington, DE  19803

      Phone:      (302)777-1616     Fax:  (302)777-1620

      Email:      djf@innovationcapital.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

         

Florida

SBIC Licensees Located in Florida on July 10, 2014

   

Banyan Mezzanine Fund II, L.P.

         

      John A. Miller, Contact

      1111 Brickell Avenue, Suite 1300

      Miami, FL  33131

      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

         

      FUNDING STAGE PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

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:      lmarler@banyanmezzanine.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      No Start-Ups

         

      FUNDING STAGE PREFERENCE

         

      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.

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

          

KLH Capital Fund II, L.P.

         

      James B. Darnell, Contact

      601 Bayshore Blvd., Suite 850

      Tampa, FL  33606

      Phone:      (813)222-0160     Fax:  (813)222-0161

      Email:      chris@klhcapital.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

         

 

Penta Mezzanine SBIC Fund I, L.P.

         

      Rebecca Irish - Managing Principal/CFO

      20 North Orange Avenue, Suite 1550

      Orlando, FL  32801

      Phone:      (407)648-5097     Fax:  (407)641-9286

      Email:      rirish@pentamezz.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

         

Stonehenge Growth Equity Fund, L.P.

         

      Steven F. Lux

      707 West Azeele Street

      Tampa, FL  33606

      Phone:      (813)221-8302     Fax:  (813)221-6453

      Email:      sflux@stonehengegc.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

         

SBIC Licensees Located in Georgia on July 10, 2014

   

Chatham SBIC Fund IV, L.P.

         

      Brian G. Reynolds

      400 Galleria Parkway, Suite 1950

      Atlanta, GA  30339

      Phone:      (770)618-2100     Fax:  (770)618-2101

      Email:      br@chathamcapital.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

         

Chatham SBIC Fund QP IV, L.P.

         

      Brian G. Reynolds

      400 Galleria Parkway, Suite 1950

      Atlanta, GA  30339

      Phone:      (770)618-2100     Fax:  (770)618-2101

      Email:      br@chathamcapital.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

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Noro-Moseley Partners SBIC, LP

         

      William L. Hudson

      4200 Northside Parkway, Building 9

      Atlanta, GA  30327

      Phone:      (404)233-1966     Fax:  (404)239-9280

      Email:      whudson@noromoseley.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

         

 

Peachtree II, L.P.

         

      David Christopher, Contact

      1230 Peachtree Street NE

      Suite 1900

      Atlanta, GA  30309

      Phone:      (404)870-8900     Fax:  (404)870-8191

      Email:      david@peachtreeequity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Preferred Equity

         

      FUNDING STAGE PREFERENCE

      Expansion

      Later Stage

      Acquisition

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Service, Financial Services

      (non lending), Government

      Contracting

         

      GEOGRAPHIC PREFERENCES

      East/Southeast

         

      DESCRIPTION OF FIRM'S FOCUS

      Peachtree II provides subordinated debt and

      equity securities to middle market companies

      seeking capital for growth,expansion,

      acquisition, or shareholder liquidity.

         

 

Salem Halifax Capital Partners, L.P.

         

      Spalding White

      2849 Paces Ferry Rd

      Overlook I, Suite 660

      Atlanta, GA  30339

      Phone:      (770)790-5034     Fax:  (770)790-5104

      Email:      swhite@salemcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

          

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Mezzanine Equity

         

      FUNDING STAGE PREFERENCE

      Later Stage / Expansion

         

      INDUSTRY PREFERENCE

      Manufacturing

      Light Industrial

      Business Services

      Distribution

      Healthcare

         

      GEOGRAPHIC PREFERENCES

      Southeast, Southwest

      Midwest, Mid-Atlantic

         

      DESCRIPTION OF FIRM'S FOCUS

      Provides capital for growth, expansion,

      acquisition, LBO, MBO to rapidly growing

      companies with historical

      positive cash flow of $1 million or more

and sales of $5-$75 million.

         

 

White Oak SBIC Fund, L.P.

         

      Christopher C.  Melton, Contact

      600 Galleria Parkway, Suite 1400

      Atlanta, GA  30339

      Phone:      (404)875-9994     Fax:  (404)875-9545

      Email:      sba@thewhiteoakgroup.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Controlled Equity Positions

         

      FUNDING STAGE PREFERENCE

      Growth

         

      INDUSTRY PREFERENCE

      Aerospace and Defense

         

      GEOGRAPHIC PREFERENCES

      Eastern United States

         

      DESCRIPTION OF FIRM'S FOCUS

      We focused on making controlled equity

      investments in the C4ISR sector of the

      Aerospace and Defense Industry.

         

Guam

SBIC Licensees Located in Guam on July 10, 2014

   

   

There are no SBIC Licensees currently located in Guam

Hawaii

SBIC Licensees Located in Hawaii on July 10, 2014

   

   

There are no SBIC Licensees currently located in Hawaii

Iowa

SBIC Licensees Located in Iowa on July 10, 2014

   

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:    $500,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Subordinated Debt

         

      FUNDING STAGE PREFERENCE

      20% Developmental

      40% Expansion

      5% Turnaround

      35 %Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Consumer

      Healthcare

      Technology

         

      GEOGRAPHIC PREFERENCES

      MidWest

         

      DESCRIPTION OF FIRM'S FOCUS

      Manufacturing

      Consumer Products / Services

      Heathcare

      Technology

      Other

         

 

Lewis & Clark Private Equities, L.P.

         

      David R. Schroder, Contact

      3349 Southgate Ct SW Suite 102

      Cedar Rapids, IA  52404-

      Phone:      (319)363-8249     Fax:  (319)363-9683

      Email:      mbenge@investam.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

Preferred Min:    $500,000

      Preferred Max:    $2,500,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Preferred Stock

      Equity

         

      FUNDING STAGE PREFERENCE

      Growth and Later Stage

         

      INDUSTRY PREFERENCE

      Manufacturing

      Service

      Distribution

      Technology

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Invest in growth and later stage manu-

      facturing, service, distribution, and

      technology businesses with from $10 to $50

      million in sales, both growth and buyout

      financing throughout U.S.  However, the Fund

      is now fully invested.

         

 

North Dakota SBIC, L.P.

         

      David R. Schroder, Manager

      3349 Southgate Ct. SW, Suite 102

      Cedar Rapids, IA  52404-

      Phone:      (319)363-8249     Fax:  (319)363-9683

      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 PREFERENCE

      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.

         

Idaho

SBIC Licensees Located in Idaho on July 10, 2014

   

   

There are no SBIC Licensees currently located in Idaho

Illinois

SBIC Licensees Located in Illinois on July 10, 2014

   

Aldine Capital Fund II, L.P.

         

      Michael J. Revord

      30 West Monroe Street, Suite 710

      Chicago, IL  60603

      Phone:      (312)346-3950     Fax:  (312)346-3930

      Email:      mrevord@aldinecapital.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

          

 

Aldine SBIC Fund, L.P.

         

      Albert L. Brahm, Contact

      30 West Monroe Street

      Suite 710

      Chicago, IL  60603

      Phone:      (312)346-3950     Fax:  (312)346-3930

      Email:      bbrahm@aldinecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine and Equity

         

      FUNDING STAGE PREFERENCE

      Growth or Late Stage

         

      INDUSTRY PREFERENCE

      Will not pursue turnaround

      or early stage situations, real

      estate, finance or insurance.

         

      GEOGRAPHIC PREFERENCES

      Nationwide w/Midwest

      focus

         

      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:      AHKalnow@alphacapital.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

         

 

BA Capital Company, L.P.

         

      Emili de la Cruz

      135 S. LaSalle Street, 8th Floor

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (312)828-8625     Fax:  (312)453-3855

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $40,000,000

      Preferred Max:    $150,000,0

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Sub. Debt w/Warrants

         

      FUNDING STAGE PREFERENCE

      Later Stage

      Expansion

      MBO

      LBO

      Acquisition

         

      INDUSTRY PREFERENCE

      Healthcare, Information

      Technology, Media &

      Entertainment, Retail, Energy

      Telecommunications, Power

      Financial Services, Industrials

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Invests in middle market companies as well

      as smaller, higher growth firms in a broad

      array of industries. Provide venture &

      risk capital for growth financings,

      buyouts, acquisitions, recapitalizations &

      other situations requiring equity.

         

 

Banc of America Capital Investors SBIC, L.P.

         

      Emili de la Cruz, 312-828-8685

      135 S. LaSalle Street, 8th Floor

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (704)944-0966     Fax:  (704)944-0973

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $40,000,000

      Preferred Max:    $150,000,0

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Sub. Debt w/Warrants

         

      FUNDING STAGE PREFERENCE

      Later Stage

      Expansion

      MBO

      LBO

      Acquisition

         

      INDUSTRY PREFERENCE

      Healthcare, Information

      Technology, Media &

      Entertainment, Retail, Energy

      Telecommunications, Power

      Financial Services, Industrials

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Invests in middle market companies as well

      as small, higher growth firms in a broad

      array of industries.  Provide venture & risk

      capital for growth financings, buyouts,

      acquisitions, recapitalizations and other

      situations requiring equity.

         

 

BancAmerica Capital Investors SBIC II, L.P.

         

      Emili de la Cruz, 312-828-8685

      135 S. LaSalle Street, 8th FL

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (312)828-2287     Fax:  (312)923-0668

      Email:      gregory.costigan@bankofamerica.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

         

 

BancBoston Ventures, Incorporated

         

      Gregory Costigan

      135 S. LaSalle Street, 8th FL

      Mail Code IL4-135-08-13

      Chicago, IL  60603

      Phone:      (704)683-5741     Fax:  (704)388-2746

      Email:      gregory.costigan@bankofamerica.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Mezzanine

         

      FUNDING STAGE PREFERENCE

      Early Stage

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Healthcare

      Media

      Communications

      Information Technology

      Diversified

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

CapX Fund IV, L.P.

         

      Jeffry S. Pfeffer, Contact

      155 N. Wacker Dr. Suite #1760

      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 PREFERENCE

         

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Channel Medical Partners, L.P.

         

      Carol Winslow

      1210 Chicago Avenue, Suite 703

      Evanston, IL  60202

      Phone:      (847)779-1502     Fax:  (847)779-1535

      Email:      cwinslow@chanmed.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

         

      INDUSTRY PREFERENCE

      Medical Technology

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Continental Illinois Venture Corp.

         

      Greg Costigan

      135 S. LaSalle Street, 8th Floor

      Mailcode IL4-135-08-62

      Chicago, IL  60603

      Phone:      (312)828-8685     Fax:  (312)453-3855

      Email:      gregory.costigan@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 PREFERENCE

      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.

         

 

Dunrath Capital Infrastructure Surety Fund, L.P.

         

      John Abernethy, Contact

      701 Harger Rd.

      Suite 150

      Oak Brook, IL  60523

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Fidus Mezzanine Capital II, L.P.

         

      Edward H. Ross, Contact

      1603 Orrington Avenue, Suite 1005

      Evanston, IL  60201

      Phone:      (847)859-3941     Fax:  (847)859-3953

      Email:      eross@fidusinv.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

         

 

Fidus Mezzanine Capital, L.P.

         

      Edward H. Ross, Contact

      1603 Orrington Avenue, Suite 1005

      Evanston, IL  60201

      Phone:      (847)859-3940     Fax:  (847)859-3953

      Email:      eross@fiduspartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $4,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans, Debt

      Equity

      Co-investment (non-control)

         

      FUNDING STAGE PREFERENCE

      Later Stage

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Midwest

      Northeast

      Southeast

         

      DESCRIPTION OF FIRM'S FOCUS

      Fidus Mezzanine provides flexible junior

      capital solutions to support growth and

      value creation strategies of middle market

      companies.

         

 

Freeport Financial SBIC Fund LP

         

      Joseph V. Walker

      300 North La Salle, Suite 5300

      Chicago, IL  60654

      Phone:      (312)281-4609     Fax:  (312)589-3002

      Email:      jwalker@freeportfinancial.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

         

 

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:    $4,000,000

      Preferred Max:    $6,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt or debt/equity securities

         

      FUNDING STAGE PREFERENCE

      Later Stage/Growth

         

      INDUSTRY PREFERENCE

      Business services

      Consumer products

      Distribution

      Manufacturing

      Healthcare

         

      GEOGRAPHIC PREFERENCES

      National with a focus on

      the midwest.

         

      DESCRIPTION OF FIRM'S FOCUS

      Mezzanine and equity investment opport-

      unities in middle market, small business

      with minimum revenues of $10 million,

      positive EBITDA, and  a scalable business

      operating model.

         

 

High Street Capital IV SBIC, L.P.

         

      Joseph R. Katcha, Contact

      150 North Wacker Drive, Suite 2420

      Chicago, IL  60606

      Phone:      (312)423-2650     Fax:  (312)267-2861

      Email:      joe@highstreetcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Debt-60%

      Equity-40%

         

      FUNDING STAGE PREFERENCE

      Change of Control-90%

      Later Stage-10%

         

      INDUSTRY PREFERENCE

      Healthcare/Life Sciences-20%

      Manufacturing-20%

      Distribution-20%

      Services-40%

         

      GEOGRAPHIC PREFERENCES

      Northeast-10%

      Midwest-50%

      Southeast-30%

      Southwest-10%

         

      DESCRIPTION OF FIRM'S FOCUS

      Value Added via active Asset Managers

      Help Build the company and EBITDA via

      strategy refinement, building the management

      team, and improving operational

      performance.

         

 

Invision Capital I, L.P.

         

      Robert J. Castillo, Contact

      225 W. Washington Street, Suite 1155

      Chicago, IL  60606

      Phone:      (312)236-4600     Fax:  (312)893-3841

      Email:      rcastillo@invisioncapitalgroup.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

         

LaSalle Capital Group II-A, L.P.

         

      Andrew Shackelford, Contact

      70 W Madison Street,  Suite 5710

      Chicago, IL  60602-4370

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

LaSalle Capital Group, L.P.

         

      Andrew Shackelford, CFO

      70 W Madison Street,  Suite 5710

      Chicago, IL  60602-4370

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

MidWest Mezzanine Fund V SBIC, L.P.

         

      Paul Kreie

      55 W. Monroe Avenue, Suite 3650

      Chicago, IL  60603

      Phone:      (312)291-7303     Fax:  (312)345-0665

      Email:      pkreie@mmfcapital.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

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Monroe Capital Corporation SBIC, LP

         

      Ted Koenig, Contact

      311 S. Wacker Drive, Suite 6400

      Chicago, IL  60606

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

 

Monroe Capital Partners Fund II, LP

         

      Ted Koenig, Contact

      311 S. Wacker Drive, Suite 6400

      Chicago, IL  60606

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

Monroe Capital Partners Fund LP

         

      Ted Koenig, Contact

      311 S Wacker Dr Ste 6400

      Chicago, IL  60606-6710

      Phone:      (312)523-2360     Fax:  (312)258-8350

      Email:      tkoenig@monroecap.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

         

 

NXT Capital SBIC, LP

         

      Robert Radway

      191 N. Wacker, Suite 1200

      Chicago, IL  60606

      Phone:      (781)486-6601     Fax:  (781)486-6610

      Email:      Robert.Radway@nxtcapital.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

         

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:      robert@prismfund.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

         

 

Vogen Funding, L.P.

         

      Jeffry S. Pfeffer, Contact

      155 N. Wacker Dr., Suite 1760

      Chicago, IL  60606

      Phone:      (312)629-2878     Fax:  (312)629-2874

      Email:      jspfeffer@capxpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equipment Leases

      Loans

      Secured Mezzanine

         

      FUNDING STAGE PREFERENCE

      Late Stage Venture

      Growth Capital

      Buyout

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Technology/Telecom

      Business Services

         

      GEOGRAPHIC PREFERENCES

      National Footprint

         

      DESCRIPTION OF FIRM'S FOCUS

      CapX Partners, founded in 1999, is a equip-

      ment financing and secured mezzanine fund

      focusing on transaction sizes of $2-$10m for

      private equity and venture backed portfolio

      companies. CapX is investing out of its

      $150m third fund (Vogen).

         

 

VPC SBIC I, LP

         

      Brendan Carroll

      227 W. Monroe, Suite 3900

      Chicago, IL  60606

      Phone:      (312)701-0785     Fax:  (312)701-0794

      Email:      jschneider@vpcadvisors.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

         

SBIC Licensees Located in Indiana on July 10, 2014

   

1st Source Capital Corporation

         

      Judd P. McNally, COO

      100 North Michigan Street

      4th Floor

      South Bend, IN  46634

      Phone:      (574)235-2416     Fax:  (574)235-2227

      Email:      McNallyJ@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 PREFERENCE

      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 PREFERENCE

      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.

         

 

CCP III-SBIC, L.P.

         

      D. Scott Lutzke

      10 West Market Street, Suite 3030

      Indianapolis, IN  46204

      Phone:      (317)237-2321     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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

          

      DESCRIPTION OF FIRM'S FOCUS

         

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Kansas

SBIC Licensees Located in Kansas on July 10, 2014

   

Kansas Venture Capital, Inc.

         

      Marshall D. Parker

      10601 Mission Road, Suite 250

      Leawood, KS  66206

      Phone:      (913)262-7117     Fax:  (913)262-3509

      Email:      mparker@kvci.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Subordinated Debt

         

      FUNDING STAGE PREFERENCE

      No Seed

      All Other Stages

         

      INDUSTRY PREFERENCE

      Manufacturing

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Primarily Midwest

         

      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 Fund II, L.P.

         

      Tim 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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

MidStates Capital Fund III, L.P.

         

      Tim Keeble

      7300 West 110th Street, 7th Floor

      Overland Park, KS  66210

      Phone:      (913)962-9007     Fax:  (913)962-0699

      Email:      tim@midstatescap.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

         

Kentucky

SBIC Licensees Located in Kentucky on July 10, 2014

   

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:    $350,000

         

      TYPE OF CAPITAL PROVIDED

      Loan

      Debt

      Equity

         

      FUNDING STAGE PREFERENCE

      Seed

      Early

      Expansion

      Later Stages

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southeast Kentucky

         

      DESCRIPTION OF FIRM'S FOCUS

      Prefers to invest in firms to be located

      in Eastern Kentucky.

         

Louisiana

SBIC Licensees Located in Louisiana on July 10, 2014

   

Jefferson Capital Partners I, L.P.

         

      William J. Harper, Contact

      #5 Sanctuary Blvd., Suite 103

      Mandeville, LA  70471

      Phone:      (985)727-7232     Fax:  (985)727-7213

      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 PREFERENCE

      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

         

 

Jefferson Capital Partners II, LP

         

      Francis T. Cazayoux, Jr.

      #5 Sanctuary Blvd., Suite 103

      Mandeville, LA  70471

      Phone:      (985)727-7232     Fax:  (985)727-7213

      Email:      pgiffin@jeffcap.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

         

 

LongueVue Capital Partners II, LP

         

      Peyton Bush IV, Contact

      111 Veterans Blvd., Suite 1020

      Metairie, LA  70005

      Phone:      (504)293-3604     Fax:  (504)834-1142

      Email:      pbush@lvcpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $6,500,000

      Preferred Max:    $6,500,000

         

      TYPE OF CAPITAL PROVIDED

      Equity - 30%

      Debt - 35%

      Loan - 35%

         

      FUNDING STAGE PREFERENCE

      Later Stage - 35%

      Change of Control - 35%

      Turnaround - 15%

      Expansion - 15%

         

      INDUSTRY PREFERENCE

      Service - 25%

      Other - 20%

      Manufacturing - 15%

      Distribution - 12.5%

      Technology - 10%

         

      GEOGRAPHIC PREFERENCES

      Southeast - 50%

      Mid-Atlantic - 10%

      MidWest - 10%

      Northeast - 10%

      West - 10%

         

      DESCRIPTION OF FIRM'S FOCUS

      Target Revenue - $10M - $100M

      Target EBITDA - $2M - $10M

      Total Companies - 15+

         

Massachusetts

SBIC Licensees Located in Massachusetts on July 10, 2014

   

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

   

 

Citizens Ventures, Inc.

         

      Thomas K. Schmidt

      28 State St., 11th Floor MS 1000

      Boston, MA  02109

      Phone:      (617)725-5835     Fax:  (617)742-9471

      Email:      thomas.k.schmidt@citizens.bank.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:

      Preferred Max:

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Equity

         

      FUNDING STAGE PREFERENCE

      MBO

      Acquisition

      Growth

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

      Northeast

      Midwest

      Southeast

         

      DESCRIPTION OF FIRM'S FOCUS

         

Crystal Financial SBIC LP

         

      Ward K. Mooney

      Two International Place, 17th Floor

      Boston, MA  02110

      Phone:      (617)428-8700     Fax:  (617)428-8701

      Email:      colin@crystalsbic.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

         

 

Draper Fisher Jurvetson New England Fund I (SBIC), L.P.

         

      Todd Hixon, Contact

      One Broadway, 14th Floor

      Cambridge, MA  02142

      Phone:      (617)758-4213     Fax:  (617)758-4101

      Email:      todd@navfund.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      N/A

         

      FUNDING STAGE PREFERENCE

      N/A

         

      INDUSTRY PREFERENCE

      N/A

         

      GEOGRAPHIC PREFERENCES

      N/A

         

      DESCRIPTION OF FIRM'S FOCUS

      This fund is no longer investing in new

      portfolio companies.

         

Gemini Investors III, L.P.

         

      David F. Millet, 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 PREFERENCE

         

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Gemini Investors V, L.P.

         

      Matthew E. 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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

High Peaks Seed Ventures, L.P.

         

      Russell Howard, Contact

      One Bank Street, 2nd Floor

      Williamstown, MA  01267

      Phone:      (518)720-3090     Fax:  (518)720-3091

      Email:      Russ@HPVP.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

         

 

High Peaks Ventures, L.P.

         

      Russell Howard, Contact

      One Bank Street, 2nd Floor

      Williamstown, MA  01267

      Phone:      (518)720-3090     Fax:  (518)720-3091

      Email:      Russ@HPVP.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $750,000

      Preferred Max:    $3,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Capital

         

      FUNDING STAGE PREFERENCE

      Early Stage

         

      INDUSTRY PREFERENCE

      Technology

         

      GEOGRAPHIC PREFERENCES

      New York State

         

      DESCRIPTION OF FIRM'S FOCUS

      High Peaks is a venture capital firm focused

      on investments in market leading, early

      stage tech. companies.  High Peaks closed

      its inaugural fund in '04 & is actively in-

      vesting in NY state and thru-out the north-

      east focusing on internet-enabled business.

         

 

Lancet Capital Health Ventures, L.P.

         

      William Golden, Manager

      245 First Street

      Suite 1800

      Cambridge, MA  02142

      Phone:      (617)444-8582     Fax:  (617)444-8405

      Email:      wgolden@lancetcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $2,500,000

         

      TYPE OF CAPITAL PROVIDED

      Private Equity

         

      FUNDING STAGE PREFERENCE

      Seed

      Early Stage

         

INDUSTRY PREFERENCE

      Biomedical

         

      GEOGRAPHIC PREFERENCES

      Northeast US

         

      DESCRIPTION OF FIRM'S FOCUS

      Invest primarily in medical device, drug

      discovery, bioinformatics companies.

         

Long River Ventures III, L.P.

         

      Tripp Peake

      7 North Pleasant Street, Suite 2C

      Amherst, MA  01002

      Phone:      (413)587-2155     Fax:  (413)587-2156

      Email:      tpeake@longriverventures.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

         

 

Pine Street Capital Partners II, L.P.

         

      David Morris

      572 Washington Street

      The Rotunda Building, Wuite 16

      Wellesley, MA  12207-

      Phone:      (781)237-0005

         

      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

         

Seacoast Capital Partners II, L.P.

         

      Thomas Gorman, Contact

      55 Ferncroft Road

      Danvers, MA  01923

      Phone:      (978)750-1311     Fax:  (978)750-1301

      Email:      tgorman@seacoastcapital.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

         

 

Seacoast Capital Partners III, L.P.

         

      Thomas Gorman, Contact

      55 Ferncroft Road, Suite 110

      Danvers, MA  01923

      Phone:      (978)750-1311     Fax:  (978)750-1301

      Email:      tgorman@seacoastcapital.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

         

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:    $100,000

      Preferred Max:    $1,250,000

         

      TYPE OF CAPITAL PROVIDED

      75%: Loan and debt

      25%: Equity

         

      FUNDING STAGE PREFERENCE

      20-30%: startup & dvlpmnt

      70-80%: Exp & Later

         

      INDUSTRY PREFERENCE

      no industry specific

         

      GEOGRAPHIC PREFERENCES

      southeast Massachusetts

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Ticonderoga SBIC, L.P.

         

      Craig A.T. Jones, Contact

      25 Braintree Hill Park, Suite 200

      Braintree, MA  02184

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Maryland

SBIC Licensees Located in Maryland on July 10, 2014

   

Farragut Mezzanine Partners III, L.P.

         

      Philip McNeill

      5425 Wisconsin Avenue, Suite 401

      Chevy Chase, MD  20815

      Phone:      (301)913-5293     Fax:  (301)913-5969

      Email:      pmcneill@farragutcapitalpartners.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

         

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

MidCap Financial SBIC, L.P.

         

      Steve Curwin, Contact

      7255 Woodmont Avenue, Suite 200

      Bethesda, MD  20814

      Phone:      (301)841-6433     Fax:  (301)941-1450

      Email:      dmoore@midcapfinancial.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

         

Multiplier Capital, LP

         

      Kevin P. Sheehan

      2 Wisconsin Circle, Suite 700

      Chevy Chase, MD  20815

      Phone:      (240)235-5062     Fax:  (240)345-1004

      Email:      sheehan@multipliercapital.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

         

 

Patriot Capital II, L.P.

         

      Chris Royston, Contact

      509 South Exeter Street

      Suite 210

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Patriot Capital III SBIC, L.P.

         

      Chris M. Royston, Contact

      509 South Exeter Street

      Suite 210

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Patriot Capital, L.P.

         

      Chris M. Royston, Contact

      509 South Exeter Street

      Suite 210

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

RLJ Credit Opportunity Fund I, L.P.

         

      Trevoir D. Gregg, Contact

      3 Bethesda Metro Center, Suite 1000

      Bethesda, MD  20814

      Phone:      (240)744-7849     Fax:  (301)280-7762

      Email:      tgregg@rljcredit.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

         

 

Spring Capital Partners II, L.P.

         

      Robert M. Stewart, Contact

      The Foxleigh Building, Suite 340

      2330 W. Joppa Road

      Lutherville, MD  21093-

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Spring Capital Partners III, L.P.

         

      Robert M. Stewart

      The Foxleigh Building, Suite 340

      2330 W. Joppa Road

      Lutherville, MD  21093-

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Maine

SBIC Licensees Located in Maine on July 10, 2014

   

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Michigan

SBIC Licensees Located in Michigan on July 10, 2014

   

Dearborn Capital Corp.   (SSBIC)

         

      Paul Rau

      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 PREFERENCE

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Minnesota

SBIC Licensees Located in Minnesota on July 10, 2014

   

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

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:    $6,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      50% equity

      50% debt

         

      FUNDING STAGE PREFERENCE

      later stage

         

      INDUSTRY PREFERENCE

      manufacturing

      business services

      distribution

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Buyouts and recapitalizations.

         

Bayview Capital Partners III LP

         

      Shane Slominski, Contact

      301 Carlson Parkway, Suite 325

      Minnetonka, MN  55305

      Phone:      (952)345-2032     Fax:  (952)345-2001

      Email:      sslominski@tonkabayequity.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

         

 

Convergent Capital Partners II, L.P.

         

      Keith Bares, Contact

      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:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/equity

      warrants or other yield

      enhancements

         

      FUNDING STAGE PREFERENCE

      Growth and Late Stage

         

      INDUSTRY PREFERENCE

      Convergent will consider

      investments in a broad

      range of industries.

         

      GEOGRAPHIC PREFERENCES

      Convergent will consider

      investments across the

      United States.

         

      DESCRIPTION OF FIRM'S FOCUS

      Convergent provides growth & acquisition

      capital to businesses committed to long-term

      sustainable growth.  We also structure in-

      vestments around recapitalizations, spon-

      sored  management buyouts, & add-on fin-

      ancings to our existing portfolio companies.

         

 

Convergent Capital Partners III, L.P.

         

      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:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

GMB Mezzanine Capital II, L.P.

         

      Carleton L. Olmanson, Contact

      50 South Sixth Street, Suite 1460

      Minneapolis, MN  55402

      Phone:      (612)243-4405     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 PREFERENCE

         

      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:    $3,000,000

      Preferred Max:    $13,000,000

         

      TYPE OF CAPITAL PROVIDED

      All-coupon, fixed rate subor-

dinated notes with nominally-

      priced warrants.

         

      FUNDING STAGE PREFERENCE

      Mature companies w/sound

      historical financial per-

      formance and diversified

      product,customer and

      supplier base.

         

      INDUSTRY PREFERENCE

      Niche manufacturing and

      fabrication, value-added

      distribution and service

      companies.

         

      GEOGRAPHIC PREFERENCES

      United States only.

         

      DESCRIPTION OF FIRM'S FOCUS

      Investments, as described above, in priv-

      ately-owned companies of less than $100m of

      enterprise value.  We will participate as a

      sole investor, a lead investor for co-invest

      ment group, or as a co-investor w/another

      institutional investor.

         

 

Marquette Capital Fund II, 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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Medallion Capital, Inc.

         

      Dean Pickerell

      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 PREFERENCE

      Acquisition

      MBO

      Later Stage

         

      INDUSTRY PREFERENCE

      Communications

      Technology

      Manufacturing

      Services

         

      GEOGRAPHIC PREFERENCES

      Midwest

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Private Equity-Sponsored buyouts.

         

 

Spell Capital Mezzanine Partners SBIC, LP

         

      Andrew P. Leonard

      222 South Ninth Street, Suite 2880

      Minneapolis, MN  55402

      Phone:      (612)371-9650     Fax:  (612)371-9651

      Email:      andrea@spellcapital.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

         

Trailhead Fund Limited Partnership

         

      Jason T. Brass

      Goldner Hawn Johnson & Morrison Inc.

      3700 Wells Fargo Ctr., 90 S. Seventh St.

      Minneapolis, MN  55402-4128

      Phone:      (612)338-5912     Fax:  (612)338-2860

      Email:      goldstein@ghjm.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

         

Missouri

SBIC Licensees Located in Missouri on July 10, 2014

   

C3 Capital Partners II, L.P.

         

      Patrick F. Healy, Contact

      1511 Baltimore Ave

      Suite 500

      Kansas City, MO  64108-

      Phone:      (816)756-2225     Fax:  (816)756-5552

      Email:      phealy@C3cap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt,

      with detachable warrants

         

      FUNDING STAGE PREFERENCE

      Mature companies (no-

      turnarounds or start-ups)

         

      INDUSTRY PREFERENCE

      Chemicals, energy

      business services

      distribution and

      high valued-added

      manufacturing

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Partnering with entrepreneurs to accomplish

      a transaction where the funds are used for

      growth capital, strategic acquisitions,

      ownership transitions or recapitalizations.

         

 

C3 Capital Partners III, L.P.

         

      Patrick F. Healy

      1511 Baltimore Ave

      Suite 500

      Suite 500

      Kansas City, MO  64108-

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

C3 Capital Partners, LP

         

      Patrick F. Healy and  Mikala January

      1511 Baltimore Avenue

      Suite 500

      Kansas City, MO  64108-

      Phone:      (816)756-2225     Fax:  (816)756-5552

      Email:      phealy@C3cap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt

      w/detachable warrants

         

      FUNDING STAGE PREFERENCE

      Mature companies (no

      turnarounds or start-ups)

         

      INDUSTRY PREFERENCE

      Chemicals, energy

      business services

      distribution and high

      value-added manufacturing

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Partnering with entrepreneurs to accomplish

      a transaction where the funds are used for

      growth capital, strategic acquisitions,

      ownerships transitions or recapitalizations.

         

 

CFB Venture Fund L.P.

         

      Stephen B. Brown, Managing Partner

      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 PREFERENCE

         

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Eagle Fund I, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint 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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

   

Eagle Fund II, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint 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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Eagle Fund III, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint Louis, MO  63105

      Phone:      (314)727-4555     Fax:  (314)727-8829

      Email:      bmg@bushodonnell.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

         

Eagle Fund III-A, L.P.

         

      Christine M. Noonan, CFO

      101 S. Hanley Road, Suite 1250

      Saint Louis, MO  63105

      Phone:      (314)727-4555     Fax:  (314)727-8829

      Email:      bmg@bushodonnell.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

         

 

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 PREFERENCE

         

      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 PREFERENCE

      Later Stage

         

      INDUSTRY PREFERENCE

      Manufacturing

         

      GEOGRAPHIC PREFERENCES

      Midwest

         

      DESCRIPTION OF FIRM'S FOCUS

         

Mississippi

SBIC Licensees Located in Mississippi on July 10, 2014

   

   

There are no SBIC Licensees currently located in Mississippi

Montana

SBIC Licensees Located in Montana on July 10, 2014

   

   

There are no SBIC Licensees currently located in Montana

SBIC Licensees Located in North Carolina on July 10, 2014

   

BB&T Capital Partners II, LLC

         

      David Townsend, Managing Partner

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Buyout

      Acquisitions

      MBO

      Recapitalization

Consolidation

         

      INDUSTRY PREFERENCE

      Cash flow-oriented busi-

      nesses w/critical mass in any

      industry except high tech.,

      real estate and financial

      services.

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Seeks to invest in companies w/experienced

      management, a demonstrated need for the

      company's products or services, and sus-

      tainable competitive advantages allowing for

      profitable growth both organically and thru

      strategic acquisitions.

         

 

BB&T Capital Partners Mezzanine Fund II, L.P.

         

      David Townsend, Contact

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4010

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.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

         

BB&T Capital Partners, LLC

         

      David Townsend & Martin Gilmore, Mgrs.

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.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

      No longer seeking new investments.

         

 

BB&T Capital Partners/Windsor Mezzanine Fund, LLC

         

       David Townsend

      101 N. Cherry Street, Suite 700

      Winston-Salem, NC  27101-4019

      Phone:      (336)733-0355     Fax:  (336)733-0349

      Email:      dgtownsend@bbandt.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt (with/with-

      out warrants) Equity co-invest

      -ments w/subordinated debt.

         

      FUNDING STAGE PREFERENCE

      Buyout

      Acquisitions

      MBO

      Recapitalization

Consolidation

         

      INDUSTRY PREFERENCE

      Cash flow-oriented busi-

      ness w/critical mass in any

      industry except high tech-

      nology, real estate and

      financial services.

         

      GEOGRAPHIC PREFERENCES

      National

      OGC - Mark Spellman

         

      DESCRIPTION OF FIRM'S FOCUS

      Seeks to invest in companies w/experienced

      management, a demonstrated need for the

      company's products or services, and

      sustainable competitive advantages allowing

      for profitable growth both organically and

      through strategic acquisitions.

         

 

CapitalSouth Partners Fund II, L.P.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

CapitalSouth Partners Fund II, L.P.

         

      Jack McGlinn

      2530 Meridian Parkway, Suite 200

      Research Triangle Park

      Durham, NC  27713

      Phone:      (919)806-4590     Fax:  (866)801-6581

         

      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

         

 

CapitalSouth Partners SBIC Fund III, L.P.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

CapitalSouth SBIC Fund IV, L.P.

         

      Joseph B. Alala, Contact

      The Rotunda Building

      4201 Congress Street - Suite 360

      Charlotte, NC  28209

      Phone:      (704)376-5502     Fax:  (704)376-5877

      Email:      jalala@capitalsouthpartners.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

         

 

Frontier Fund I, L.P.

         

      Lori Shell, Contact

      1111 Metropolitan Avenue

      Suite 1050

      Charlotte, NC  28204

      Phone:      (704)414-2880     Fax:  (704)414-2881

      Email:      lori@frontiercapital.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

         

Hatteras Venture Partners IV SBIC, LP

         

      Douglas Reed, M.D.

      280 South Mangum Street, Suite 350

      Durham, NC  27701

      Phone:      (919)484-0730     Fax:  (919)484-0364

      Email:      doug@hatterasvp.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

         

 

Kian Mezzanine Partners I, L.P.

         

      Kevin McCarthy

      4720 Piedmont Row Drive, Suite 421

      Charlotte, NC  28211

      Phone:      (704)943-2501     Fax:  (704)943-4457

      Email:      cedmondson@kiancapital.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

         

Mosaic Capital Investors I, LP

         

      H. Dabney Smith

      101 South Tryon St

      Suite 2620

      Charlotte, NC  28280-

      Phone:      (919)636-6164

      Email:      mosaic-cp.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

         

 

North Carolina Economic Opportunities Fund, L.P.

         

      H. Dabney Smith, Contact

      PO Box 6386

      Raleigh, NC  27628-

      Phone:      (919)610-8252

      Email:      dsmith@dogwoodequity.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Preferred Stock

         

      FUNDING STAGE PREFERENCE

      Buyout transactions

      Late Stage Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Business Services

      Consumer Products

         

      GEOGRAPHIC PREFERENCES

      Southeastern

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Control investments in companies that will

      typically have $5 million  to $50 million

      of existing revenues and are profitable.

         

 

Plexus Fund I, L.P.

         

      Rhonda Penn, CFO, Contact

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (919)253-6355     Fax:  (704)927-6255

      Email:      banders@plexuscap.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

         

Plexus Fund I, L.P.

         

      4601 Six Forks Road, Suite 528

      Raleigh, NC  27609

      Phone:      (919)256-6341     Fax:  (919)256-3650

         

      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

         

 

Plexus Fund II, L.P.

         

      Rhonda Penn. CFO, Contact

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (919)256-6355     Fax:  (704)927-6255

      Email:      banders@plexuscap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

Preferred Min:    $2,000,000

      Preferred Max:    $8,000,000

         

      TYPE OF CAPITAL PROVIDED

      Growth, acquisition

      LBO, recaps

         

      FUNDING STAGE PREFERENCE

      Later

         

      INDUSTRY PREFERENCE

      N/A

         

      GEOGRAPHIC PREFERENCES

      Southeast and

      Middle Atlantic

         

      DESCRIPTION OF FIRM'S FOCUS

      Provide growth capital to middle market

      companies through investments in

      subordinated debt and preferred equity

      securities.

         

Plexus Fund II, L.P.

         

      4601 Six Forks Road, Suite 528

      Raleigh, NC  27609

      Phone:      (919)256-6342     Fax:  (919)256-6350

         

      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

         

 

Plexus Fund III, L.P.

         

      Robert Anders

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (704)927-6246     Fax:  (704)927-6255

      Email:      ronda@plexuscap.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

         

Plexus Fund QP III, L.P.

         

      Robert Anders

      200 Providence Road, Suite 210

      Charlotte, NC  28207

      Phone:      (704)927-6246     Fax:  (704)927-6255

      Email:      banders@plexuscap.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

         

 

Salem Investment Partners III, Limited Partnership

         

      Philip W. Martin

      1348 Westgate Center Drive, Suite 100

      P.O. Box 25684

      Winston-Salem, NC  27114

      Phone:      (336)245-4725     Fax:  (888)670-9182

      Email:      pmartin@salemip.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Growth, acquisition, MBO, LBO

      recaps

         

      FUNDING STAGE PREFERENCE

      Later stage

         

      INDUSTRY PREFERENCE

      No preference

         

      GEOGRAPHIC PREFERENCES

      Southeast, Mid-Atlantic

      Midwest

         

      DESCRIPTION OF FIRM'S FOCUS

      Provide patient growth capital to middle

      market companies by investing in

      subordinated debt and equity warrants.

         

 

SJF Ventures III, LP

         

      David A. Kirkpatrick

      200 N. Mangum Street, Suite 203

      Durham, NC  27701

      Phone:      (919)530-1177     Fax:  (919)530-1178

      Email:      dkirk@sjfventures.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

         

Triangle Mezzanine Fund II, LP

         

      Brent Burgess, Contact

      3700 Glenwood Avenue, Suite 530

      Raleigh, NC  27612

      Phone:      (919)719-4788     Fax:  (919)719-4777

      Email:      bburgess@tcap.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

         

 

Triangle Mezzanine Fund LLLP

         

      Brent Burgess, Contact

      3700 Glenwood Avenue, Suite 530

      Raleigh, NC  27612

      Phone:      (919)719-4788     Fax:  (919)719-4777

      Email:      bburgess@tcap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      Equity, equity co-investments,

      first & 2nd lien, unitranche.

         

      FUNDING STAGE PREFERENCE

      Later stage companies

      needing capital for buy-

      outs, recapitalizations,

      acquisitions or growth.

         

      INDUSTRY PREFERENCE

      Diverse

         

      GEOGRAPHIC PREFERENCES

      Throughout United States

         

      DESCRIPTION OF FIRM'S FOCUS

      We focus on investments in lower middle

      market companies with a history of

      generating revenues and positive cash flows,

      an established market position, and a proven

      management team with a strong operating

      discipline.

         

North Dakota

SBIC Licensees Located in North Dakota on July 10, 2014

   

North Dakota SBIC, L.P.

         

      John G. Cosgriff, Manager

      51 Broadway, Suite 400

      Fargo, ND  58102

      Phone:      (701)298-0003     Fax:  (701)293-7819

         

      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

         

Nebraska

SBIC Licensees Located in Nebraska on July 10, 2014

   

FCP Fund II, L.P.

         

      David F. McLeese, Contact

      1620 Dodge Street

      Omaha, NE  68102

      Phone:      (402)602-3517     Fax:  (402)602-3477

      Email:      dmcleese@firstcapitalpartners.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

         

New Hampshire

SBIC Licensees Located in New Hampshire on July 10, 2014

   

MB Growth Partners II, L.P.

         

      Jeffrey M. Pollock, Contact

      1444 Union Street

      Manchester, NH  03104

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

      Please visit our web address:

      www.merchantbanc.com

         

New Jersey

SBIC Licensees Located in New Jersey on July 10, 2014

   

Contemporary Healthcare Fund I, LP

         

      Eric Smith, Contact

      1040 Broad Street, Suite 103

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

Contemporary Healthcare Senior Lien Fund I, LP

         

      Eric Smith, Contact

      1040 Broad Street, Suite 103

      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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Edison Fund V, L.P.

         

      Ross Martinson, Contact

      1009 Lenox Drive, Suite 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 PREFERENCE

      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, Suite 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 PREFERENCE

      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

         

 

University Ventures, Inc.   (SSBIC)

         

      Leah Apgar

      c/o New Jersey Community Capital

      108 Church Street, 3rd Floor

      New Brunswick, NJ  08901

      Phone:      (732)640-2061     Fax:  (732)543-1201

      Email:      lapgar@njclf.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:

      Preferred Max:    $150,000

         

      TYPE OF CAPITAL PROVIDED

      Loans w/Equity Features

         

      FUNDING STAGE PREFERENCE

      Early Stage

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Northeast

         

      DESCRIPTION OF FIRM'S FOCUS

         

New Mexico

SBIC Licensees Located in New Mexico on July 10, 2014

   

   

There are no SBIC Licensees currently located in New Mexico

Nevada

SBIC Licensees Located in Nevada on July 10, 2014

   

   

There are no SBIC Licensees currently located in Nevada

New York

SBIC Licensees Located in New York on July 10, 2014

   

Accretive Investors SBIC, L.P.

         

      J. Michael Cline, Contact

      51 Madison Avenue, 31st Floor

      New York, NY  10010

      Phone:      (646)282-1920     Fax:  (646)390-0545

      Email:      mcline@accretivellc.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,500,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      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.

         

 

AEA Investors Small Business Fund LP

         

      John F. Cozzi, Contact

      666 Fifth Avenue

      36th Floor

      New York, NY  10103

      Phone:      (212)702-0504     Fax:  (212)702-0550

      Email:      jcozzi@aeainvestors.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $10,000,000

      Preferred Max:    $30,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Growth

      Change of Control

         

      INDUSTRY PREFERENCE

      Consumer

      Industrial

      Services

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Argentum Capital Partners II, L.P.

         

      Daniel Raynor, Chairman

      60 Madison Avenue, Suite 701

      New York, NY  10010

      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 PREFERENCE

      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 PREFERENCE

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

Brightwood Capital SBIC I, LP

         

      Damien R. Dwin, Contact

      1540 Broadway, 23rd Floor

      New York, NY  10036

      Phone:      (646)957-9525     Fax:  (646)957-9265

      Email:      sba@brightwoodlp.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

         

 

Brightwood Capital SBIC II, LP   (SSBIC)

         

      Damien R. Dwin, Contact

      1540 Broadway, 23rd Floor

      New York, NY  10036

      Phone:      (646)957-9525     Fax:  (646)957-9265

      Email:      sba@brightwoodlp.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $25,000

      Preferred Max:    $200,000

         

      TYPE OF CAPITAL PROVIDED

      Loan, Debt

      Equity

      Subordinated Debt

         

      FUNDING STAGE PREFERENCE

      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.

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

CapitalSpring SBIC, L.P.

         

      Lisa Lersner, Contact

      950 3rd Avenue, 24th Floor

      New York, NY  10022

      Phone:      (212)981-0153     Fax:  (212)981-0159

      Email:      llersner@capitalspring.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Deby

         

      FUNDING STAGE PREFERENCE

      Late Stage

         

      INDUSTRY PREFERENCE

      Services 10%

      Consumer Products & Retail - 90%

         

      GEOGRAPHIC PREFERENCES

      West 35%

      Northeast 35%

      Other 30%

         

      DESCRIPTION OF FIRM'S FOCUS

      Brand name franchises financing

         

 

Cephas Capital Partners II, L.P.

         

      Jeff Holmes, Contact

      11 Schoen Place, 8th Floor

      Pittsford, NY  14534

      Phone:      (585)383-1610     Fax:  (585)383-1613

      Email:      ccampbell@cephascapital.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

         

 

Cephas Capital Partners L.P.

         

      Clint Campbell, Jeff Holmes, Mgrs.

      11 Schoen Place - 8th Floor

      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 PREFERENCE

      Acquisition

      Growth

      MBO

      Recaptalization

         

      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.

         

 

Deerpath Capital II, L.P.

         

      James H. Kirby, Contact

      405 Lexington Avenue, 71st Floor

      New York, NY  10174

      Phone:      (646)786-1022     Fax:  (646)417-7095

      Email:      jkirby@deerpathcapital.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

         

Deerpath Funding, L.P.

         

      James H. Kirby, Contact

      405 Lexington Avenue, 71st Floor

      New York, NY  10174

      Phone:      (646)786-1022     Fax:  (646)417-7095

      Email:      jkirby@deerpathcapital.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

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

DeltaPoint Capital IV (New York), L.P.

         

      Kevin M. Halpin

      45 East Avenue, 6th Floor

      Rochester, NY  14604

      Phone:      (585)454-6990     Fax:  (585)454-3204

      Email:      khalpin@deltapointcapital.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

         

 

DeltaPoint Capital IV, L.P.

         

      Kevin M. Halpin

      45 East Avenue, 6th Floor

      Rochester, NY  14604

      Phone:      (585)454-6990     Fax:  (585)454-3204

      Email:      khalpin@deltapointcapital.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

         

East Coast Capital Holdings Ltd.   (SSBIC)

         

      Fredrick Schulman, President

      30 East 29th Street, Suite 204

      New York, NY  10016

      Phone:      (212)686-1515     Fax:  (212)686-1131

      Email:      zindel@eastcoastcapitalholdings.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $50,000

      Preferred Max:    $200,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE PREFERENCE

      Seed

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Regional

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Emigrant Capital Corporation

         

      Christopher Hammond, Controller

      6 East 43rd Street

      20th Floor

      New York, NY  10017

      Phone:      (212)850-4470     Fax:  (212)850-3470

      Email:      hammondc@emigrant.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $20,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Generating Revenue

      Cash Flow Positive

         

      INDUSTRY PREFERENCE

      Outsourced Business Services

      Healthcare Services

      Niche Manufacturing, Software

      Services, Environmental

      Products and Services

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Emigrant Capital Corp. is the private equity

      division of Emigrant Savings Bank, the

      nation's largest-family owned bank.  We make

      equity investments in established businesses

      that can benefit from our financial, oper-

      ational and strategic resources.

         

 

Empire State Capital Corporation   (SSBIC)

         

      Mitzi Wu, Vice President

      7 Dey Street, #1201

      New York, NY  10007

      Phone:      (212)513-1799     Fax:  (212)513-1874

      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 PREFERENCE

      Early Stage

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Atlantic

      Region

          

      DESCRIPTION OF FIRM'S FOCUS

         

Enhanced Small Business Investment Company, L.P.

         

      Michael Korengold

      601 Lexington Avenue, 55th Floor

      New York, NY  10022

      Phone:      (212)207-3385     Fax:  (212)207-9031

      Email:      mkorengold@enhancedcap.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

         

 

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 PREFERENCE

         

      INDUSTRY PREFERENCE

         

      GEOGRAPHIC PREFERENCES

         

      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@gibuk.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

         

 

Fifth Street Mezzanine Partners IV, L.P.

         

      Bernard D. Berman, Contact

      10 Bank Street

      Suite 1210

      White Plains, NY  10606

      Phone:      (914)286-6810     Fax:  (914)328-4214

      Email:      bernie@fifthstreetcap.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

         

Fifth Street Mezzanine Partners V, L.P.

         

      Bernard D. Berman, Contact

      10 Bank Street, 12th Floor

      White Plains, NY  10606

      Phone:      (914)286-6804     Fax:  (914)328-4214

      Email:      bernie@fifthstreetfinance.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

         

 

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 PREFERENCE

      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:      slitfin@fequity.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

         

 

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 PREFERENCE

      Seed

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

          

      GEOGRAPHIC PREFERENCES

      Regional

         

      DESCRIPTION OF FIRM'S FOCUS

         

GC SBIC IV, L.P.

         

      Gregory W. Cashman, Contact

      666 Fifth Avenue, 18th Floor

      New York, NY  10103

      Phone:      (212)750-6060     Fax:  (212)750-3756

      Email:      sba@golubcapital.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

         

 

GC SBIC V, L.P.

         

      Gregory W. Cashman, Contact

      666 Fifth Avenue, 18th Floor

      New York, NY  10103

      Phone:      (212)750-6060     Fax:  (212)750-3756

      Email:      sba@golubcapital.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

         

Gefus SBIC II, L.P.

         

      Christopher F. Davis, Contact

      375 Park Avenue, Suite 3607

      New York, NY  10152

      Phone:      (212)308-3403     Fax:  (212)308-1182

      Email:      cdavis@gefinor.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

         

 

Gefus SBIC, L.P.

         

      William J. Beckett

      375 Park Avenue, Suite 3607

      New York, NY  10152

      Phone:      (212)308-1111     Fax:  (212)308-1182

      Email:      wbeckett@gefinor.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

         

Graycliff Mezzanine II LP

         

      Andrew P. Trigg

      500 Fifth Avenue, 47th Floor

      New York, NY  10110

      Phone:      (212)300-2903     Fax:  (646)439-0871

      Email:      atrigg@graycliffpartners.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

         

 

Hudson Ferry Capital II, L.P.

         

      Timothy Ross, Contact

      275 Madison Avenue, 36st Floor

      New York, NY  10016

      Phone:      (212)682-5205     Fax:  (212)308-3893

      Email:      tross@hudsonferry.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

         

 

Hudson Venture Partners II, L.P.

         

      John P. Truehart, Jr., Contact

      545 Fifth Avenue, 4th Floor

      New York, NY  10017

      Phone:      (212)644-9797     Fax:  (212)583-1859

      Email:      jtruehart@hudsonptr.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

      Debt w/Equity Features

         

      FUNDING STAGE PREFERENCE

      Early Stage

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Internet, Software

         

      GEOGRAPHIC PREFERENCES

      Northeast United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Technology and service related businesses.

         

 

KBL Healthcare, L.P.

         

      Marlene Krauss

      52 East 72nd Street-PH

      New York, NY  10021

      Phone:      (212)319-5555     Fax:  (212)319-5591

      Email:      ss@kblvc.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

         

Kinderhook Capital SBIC Fund I, L.P.

         

      Robert Michalik, Contact

      521 Fifth Avenue

      34th Floor

      New York, NY  10175

      Phone:      (212)201-6780     Fax:  (212)201-6790

      Email:      rmichalik@kinderhookcapital.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

         

 

Medallion Funding LLC

         

      Alvin Murstein, President

      437 Madison Avenue

      New York, NY  10022

      Phone:      (212)328-2110     Fax:  (212)328-2125

      Email:      nsarna@medallion.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $50,000

      Preferred Max:    $350,000

         

      TYPE OF CAPITAL PROVIDED

      Sr. & Sub. Debt w/Warrants

         

      FUNDING STAGE PREFERENCE

      Expansion

         

      INDUSTRY PREFERENCE

      Service

      Retail

         

      GEOGRAPHIC PREFERENCES

      Mid-Atlantic

      Northeast

         

      DESCRIPTION OF FIRM'S FOCUS

         

Medley SBIC, LP

         

      Marilyn Adler

      375 Park Avenue, 33rd Floor

      New York, NY  10152

      Phone:      (646)465-8410     Fax:  (212)759-0091

      Email:      MAdler@medleycapital.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

         

 

Mercury Capital, L.P.

         

      David W. Elenowitz, Contact

      590 Madison Avenue

      30th Floor

      New York, NY  10022

      Phone:      (212)838-0888     Fax:  (212)759-3897

      Email:      ele@mercurycapitalinc.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,500,000

      Preferred Max:    $7,500,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Only

         

      FUNDING STAGE PREFERENCE

      Later Stage

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Serv. Businesses

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

      Investments in late stage manufacturing,

      distribution and service businesses with

      cash flow of $3 million and above.

         

 

Michigan Growth Capital Partners SBIC, L.P.

         

      Jason Metakis

      11 Madison Avenue, 28th Floor

      New York, NY  10010

      Phone:      (212)538-3259     Fax:  (646)362-0935

      Email:      jmetakis@gcmlp.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

         

Multiplier Capital, LP

         

      Ezra Friedberg

      360 Madison Avenue

      20th Floor

      New York, NY  10017-

         

      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

         

 

OFS SBIC I, LP

         

      Mark Hauser

      540 Madison Avenue, Floor 8

      New York, NY  10022

      Phone:      (212)419-2860     Fax:  (212)308-0623

      Email:      mhauser@tamarixcapital.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

         

PennantPark SBIC II, LP

         

      Arthur H. Penn

      590 Madison Avenue, 15th Floor

      New York, NY  10022

      Phone:      (212)905-1010     Fax:  (212)905-1075

      Email:      penn@pennantpark.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

         

 

PennantPark SBIC, LP

         

      Aviv Efrat, Contact

      590 Madison Avenue, 15th Floor

      New York, NY  10022

      Phone:      (212)905-1001     Fax:  (212)905-1075

      Email:      efrat@pennantpark.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Debt :    5%

      Equity:  10%

      Loan:    85%

         

      FUNDING STAGE PREFERENCE

      Expansion:   10%

      Later:   50%

      Change of control:  40%

         

      INDUSTRY PREFERENCE

      No more than 15% in each

      industry

         

      GEOGRAPHIC PREFERENCES

      No more than 25% for each

      region

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Pine Street Capital Partners II, L.P.

         

      Michael P. Lasch, Contact

      11 North Pearl Street, Suite 1700

      Albany, NY  12207

      Phone:      (518)449-9070     Fax:  (518)617-1115

      Email:      laschm@pinecap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $6,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine Debt - 80%

      Equity - 20%

         

      FUNDING STAGE PREFERENCE

      Later stage

      Minimum revenue

       of $10 million.

         

      INDUSTRY PREFERENCE

      Business & consumer services,

      manufacturing, healthcare

         

      GEOGRAPHIC PREFERENCES

      East Coast

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Praesidian Capital Investors, LP

         

      Jason D. Drattell, Contact

      419 Park Avenue South

      New York, NY  10016

      Phone:      (212)520-2600     Fax:  (212)520-2601

      Email:      jdrattell@praesidian.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Senior and Subordinated Debt

      with Equity Kickers

         

      FUNDING STAGE PREFERENCE

      Expansion, Later Stage

      Change of Control

      and Recapitalizations

          

      INDUSTRY PREFERENCE

      None

         

      GEOGRAPHIC PREFERENCES

      Continental United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Praesidian is opportunistic in terms of

      financing those companies in the lower

      middle market that have positive EBITDA of

between $3-$15 million, that have a defen-

      sible market position, a strong management

      team, & discernable growth characteristics.

         

 

Praesidian Capital Opportunity Fund III, LP

         

      Jason D. Drattell, Contact

      419 Park Avenue South

      New York, NY  10016

      Phone:      (212)520-2600     Fax:  (212)520-2601

      Email:      jdrattell@praesidian.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

         

Rand Capital SBIC, Inc.

         

      Allen F. Grum, Jr., Contact

      2200 Rand Building

      Buffalo, NY  14203

      Phone:      (716)853-0802     Fax:  (716)854-8480

      Email:      dpenberthy@randcapital.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

         

 

RMCF II SBIC Fund, L.P.

         

      Doug England, Contact

      45 Rockefeller Center, Suite 2400

      45 Rockefeller Center

      New York, NY  10111

      Phone:      (216)535-1768     Fax:  (216)344-1330

      Email:      dengland@riversidecompany.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5

      Preferred Max:    $20

         

      TYPE OF CAPITAL PROVIDED

      1/3 equity, 2/3 debt

         

      FUNDING STAGE PREFERENCE

      Change of control (85%)

      Turn around (10%)

      Later-stage (5%)

         

      INDUSTRY PREFERENCE

      Manufacturing (20%)

      Healthcare (20%)

      Services (20%)

      Tech & life sciences (10% ea.)

      Distribution & consumer products (10% ea

         

      GEOGRAPHIC PREFERENCES

      Midwest - 35%

      Northeast/Mid-Atl - 25%

      South/Southeast -25%

      West - 15%

         

      DESCRIPTION OF FIRM'S FOCUS

      One-stop provider of equity (1/3) and

      debt (2/3) in change of control transactions

      in a strategy that is a direct evolution of

      that pursuaed at prior successful Riverside

      funds.

         

 

Saratoga Investment Corp. SBIC LP

         

      Richard A. Petrocelli

      535 Madison Avenue, 4th Floor

      New York, NY  10022

      Phone:      (212)906-7966     Fax:  (212)750-3343

      Email:      hsteenkamp@saratogapartners.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

         

Triad Capital Corp. of New York   (SSBIC)

         

      Serafin Mariel, Manager

      305 Seventh Avenue, 20th Floor

      New York, NY  10001

      Phone:      (212)243-7360     Fax:  (212)243-7647

      Email:      smariel@bcfcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $250,000

         

      TYPE OF CAPITAL PROVIDED

      Debt w/Equity Features

         

      FUNDING STAGE PREFERENCE

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      National

         

      DESCRIPTION OF FIRM'S FOCUS

         

Ohio

SBIC Licensees Located in Ohio on July 10, 2014

   

Enterprise Ohio Investment Company   (SSBIC)

         

      Janet White, Manager

      8 North Main Street

      Dayton, OH  45402

      Phone:      (937)853-2541     Fax:  (937)222-7035

      Email:      jwhite@citywidedev.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $50,000

      Preferred Max:    $100,000

         

      TYPE OF CAPITAL PROVIDED

      Equity Loan Investments

         

      FUNDING STAGE PREFERENCE

      Expansion

      Later Stage

      Franchise

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Southwest

      Ohio

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

NCT Ventures Fund II, L.P.

         

      Micahel C. Butler

      274 Marconi Blvd., Suite 400

      Columbus, OH  43215

      Phone:      (614)794-2732     Fax:  (614)228-2737

      Email:      michael.butler@nctventures.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

         

Northcreek Mezzanine Fund I, L.P.

         

      Rodger Davis, Managing Partner

      255 East Fifth Street, Suite 3010

      Cincinnati, OH  45202

      Phone:      (513)985-6600     Fax:  (513)985-6603

      Email:      Rodger Davis <rdavis@northcreekmezzanine.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

         

 

Northcreek Mezzanine Fund II, L.P.

         

      Rodger Davis

      255 East 5th Street, Suite 3010

      Cincinnati, OH  45202

      Phone:      (513)985-6600     Fax:  (513)985-6603

      Email:      rdavis@northcreekmezzanine.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

         

 

Peppertree Capital Fund, L.P.

         

      Cyndi Debevec

      86 West Street

      Chagrin Falls, OH  44022

      Phone:      (440)528-0338     Fax:  (440)528-0334

      Email:      cdebevec@peppertreecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Later state growth equity

      Recapitalizations

      Buyouts

         

      INDUSTRY PREFERENCE

      Media

      Telecommunications

      Business Services

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

      We seek non-technology investments in our

      target industries.  We prefer investments

      with recurring revenue, non-IPO exit

      strategies and asset protection (e.g., FCC

      licenses) on the downside.

         

 

River Cities Financial Institutions Fund V, L.P.

         

      Daniel T. Fleming

      221 East Fourth Street, Suite 2240

      Cincinnati, OH  45202

      Phone:      (513)621-9700     Fax:  (513)579-8939

      Email:      dfleming@rccf.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

         

River Cities SBIC III, L.P.

   

      Edwin T. Robinson, Contact

      221 East Fourth Street, Suite 2400

      Cincinnati, OH  45202

      Phone:      (513)621-9700     Fax:  (513)579-8939

      Email:      trobinson@rccf.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $7,500,000

         

      TYPE OF CAPITAL PROVIDED

      Preferred Equity

         

      FUNDING STAGE PREFERENCE

      Expansion

         

      INDUSTRY PREFERENCE

      Healthcare or

      Information Technology

         

      GEOGRAPHIC PREFERENCES

      Midwest and Southwest

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Stonehenge Opportunity Fund II, L.P.

         

      B. Michael Affinito, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2582

      Email:      bmaffinito@stonehengepartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt

      Non-Control Equity

      Control Equity

         

      FUNDING STAGE PREFERENCE

      Management

      leveraged buyouts

      Acquisitions

      Recapitalizations

      Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Business Services

      Health Care Companies

         

      GEOGRAPHIC PREFERENCES

      Midwest United States

      investment focus with

      national scope.

         

      DESCRIPTION OF FIRM'S FOCUS

      Private Equity firm focused on investing

      mezzanine and structured equity capital in

      quality, middle-market companies located

      throughout the United States.

         

 

Stonehenge Opportunity Fund III, L.P.

          

      Peter G. Davies, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2431

      Email:      pgdavies@stonehengepartners.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

         

Stonehenge Opportunity Fund III-B, L.P.

         

      Peter G. Davies, Contact

      191 West Nationwide Blvd., Suite 600

      Columbus, OH  43215

      Phone:      (614)246-2500     Fax:  (614)246-2431

      Email:      pgdavies@stonehengepartners.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

         

 

Triathlon Medical Ventures Fund LP

         

      Suzette L. Dutch, Contact

      300 E-Business Way, Suite 200

      Cincinnati, OH  45241

      Phone:      (513)723-2600     Fax:  (513)247-6199

      Email:      sdutch@tmvp.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

         

Oklahoma

SBIC Licensees Located in Oklahoma on July 10, 2014

   

Council Oak Investment Corporation

         

      William O. Johnstone - Manager

      101 North Broadway

      Suite 400

      Oklahoma City, OK  73102

      Phone:      (405)218-4696     Fax:  (405)218-4672

      Email:      wmojohnstone@gmail.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE PREFERENCE

      Early Stage

      Expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Oklahoma

         

      DESCRIPTION OF FIRM'S FOCUS

         

Oregon

SBIC Licensees Located in Oregon on July 10, 2014

   

   

There are no SBIC Licensees currently located in Oregon

Pennsylvania

SBIC Licensees Located in Pennsylvania on July 10, 2014

   

Argosy Investment Partners III, L.P.

         

      Michael Bailey,  Manager

      950 West Valley Road, Suite 2900

      Wayne, PA  19087

      Phone:      (610)971-9685     Fax:  (610)964-9524

      Email:      michael@argosycapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine & Equity

         

      FUNDING STAGE PREFERENCE

      Later, Buyouts, Recaps

         

      INDUSTRY PREFERENCE

      Manufacturing &

      Service companies

         

      GEOGRAPHIC PREFERENCES

      Eastern United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Argosy III is fully invested and invested

      both mezzanine and equity in lower

      middle market companies across a broad

      range of industries.

         

 

Argosy Investment Partners IV, L.P.

         

      Kirk B. Griswold, Manager

      950 West Valley Road, Suite 2900

      Wayne, PA  19087

      Phone:      (610)971-9685     Fax:  (610)964-9524

      Email:      kirk@argosycapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $9,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine & Equity

      Equity/debt-50/50

      1 tier of leverage

         

      FUNDING STAGE PREFERENCE

      Buyouts, Later-stage

      Recaps

      Mgmt fees basis- RC

         

      INDUSTRY PREFERENCE

      Engineered Materials,

      Industrial Electronics,

      Industrial Manufacturing,

      Industrial Services, Aviation,

      Services, Busi. Franchising.

         

      GEOGRAPHIC PREFERENCES

      United States (with an

      eastern preference).

         

      DESCRIPTION OF FIRM'S FOCUS

      Argosy IV invests in mezzanine and equity

      in companies with minimum revenue of

      $15 million and positive cash flow.  Use of

      funds include buyouts, acquisitions, and

      expansion.

         

 

Boathouse Capital LP

         

      Kenneth E. Jones, Contact

      200 West Lancaster Avenue, Suite 206

      Wayne, PA  19087

      Phone:      (610)977-2787     Fax:  (610)688-3410

      Email:      ken.jones@boathousecapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $15,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezz. loans of 5-7 yrs in dur-

      ation & equity co-investments

      alongside the mezz. loans.

         

      FUNDING STAGE PREFERENCE

      EBITDA positive of least

      $2,000,000.

         

      INDUSTRY PREFERENCE

      None, we're generalist

      investors.

         

      GEOGRAPHIC PREFERENCES

      Nationwide

         

      DESCRIPTION OF FIRM'S FOCUS

      Good lower middle market companies who have

      a niche or a strong reason to exist.

         

 

CIP Capital L.P.

         

      Bobby Yablunksy

      1200 Liberty Ridge Drive

      Suite 300

      Wayne, PA  19087

      Phone:      (610)964-7875     Fax:  (610)964-8136

      Email:      byablu01@scppartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $250,000

      Preferred Max:    $1,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Debt

         

      FUNDING STAGE PREFERENCE

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Life Sciences

      Communications

      Financial Services

         

      GEOGRAPHIC PREFERENCES

      East Coast

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

F.N.B. Capital Partners, L.P.

         

      Stephen J. Gurgovits, Jr.

      6031 Wallace Road Extension, Suite 201

      Wexford, PA  15090

      Phone:      (724)602-4401     Fax:  (412)945-5905

      Email:      SGurgovits@FNBCP.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

         

 

Meridian Venture Partners II, L.P.

         

      Robert E. Brown, Jr., Contact

      259 North Radnor-Chestor Road

      Suite 130

      Radnor, PA  19087

      Phone:      (610)254-2999     Fax:  (610)254-2996

      Email:      rbroderick@meridian-venture.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Buyout and growth equity

         

      FUNDING STAGE PREFERENCE

      Later stage

         

      INDUSTRY PREFERENCE

      Diversified: including

      aviation, manufacturing,

      healthcare, business services

      and specialty retail

         

      GEOGRAPHIC PREFERENCES

      Eastern and Central

      Time Zones

         

      DESCRIPTION OF FIRM'S FOCUS

      Lower-middle-market companies with

      exceptional growth potential.

         

 

Merion Investment Partners II, L.P.

         

      Gayle G. Hughes, Contact

      555 E. Lancaster Avenue

      Suite 500

      Radnor, PA  19087

      Phone:      (610)230-0880     Fax:  (610)945-1654

      Email:      ghughes@merionpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated debt w/warrants

      PIK interest or

      Equity co-invest

         

      FUNDING STAGE PREFERENCE

      Capital for growth and

      change of control.

         

      INDUSTRY PREFERENCE

      Business services

      Specialty manufacturing

      Technology and

      Healthcare products and

      services.

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Merion works with both private and equity

      groups as well as entrepreneurs to finance

      acquisitions, organic growth and change of

      control.

         

 

Merion Investment Partners, L.P.

         

      William M. Means, Contact

      555 E. Lancaster Avenue

      Suite 500

      Radnor, PA  19087

      Phone:      (610)230-0880     Fax:  (610)945-1654

      Email:      ghughes@merionpartners.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinated Debt w/warrants

      PIK interest or

      Equity co-invest

         

      FUNDING STAGE PREFERENCE

      Capital for growth and

      change of control

         

      INDUSTRY PREFERENCE

      Business services

      Specialty manufacturing

      Technology and

      Healthcare products and

      services.

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

Merion works with both private equity

      groups as well as entrepreneurs to

      finance acquisitions, organic growth and

      change of control.

         

 

NewSpring Mezzanine Capital II, L.P.

         

      Johnathan Schwartz, Contact

      555 East Lancaster Avenue, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2387     Fax:  (610)567-2388

      Email:      jschwartz@newspringventures.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

         

 

NewSpring Mezzanine Capital, L.P.

         

      Marc Lederman, Contact

      Radnor Financial Center

      555 E. Lancaster Ave, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2380     Fax:  (610)567-2388

      Email:      marc@newspringventures.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Subordinate Debt w/warrants

      Equity

      Loans

         

      FUNDING STAGE PREFERENCE

      Primarily Growth and

      Expansion Financing

      Recapitalizations

      Buyout Financing

         

      INDUSTRY PREFERENCE

      Late-stage technology

      Business services

      Specialty manufacturing

      Healthcare services in the

      lower middle market.

         

      GEOGRAPHIC PREFERENCES

      East Coast

      Primarily Mid-Atlantic

      Region

         

      DESCRIPTION OF FIRM'S FOCUS

      NewSpring Mezzanine leverages the NewSpring

      family of private equity funds and partner

      relationships to source and underwrite both

      sponsored and unsponsored transactions ac-

      ross diversified industries and economic

      cycles.

         

 

NewSpring Ventures, L.P.

         

      Michael DiPiano, Managing  G P

      Radnor Financial Center

      555 E. Lancaster Ave, Suite 444

      Radnor, PA  19087

      Phone:      (610)567-2387     Fax:  (610)567-2388

      Email:      marc@newspringventures.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

         

Renovus Capital Partners, L.P.

         

      Atif Gilani

      308 East Lancaster Avenue

      Wynnewood, PA  19096

      Phone:      (646)660-4040     Fax:  (610)896-3083

      Email:      SBACommunications@renovuscapital.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

         

Puerto Rico

SBIC Licensees Located in Puerto Rico on July 10, 2014

   

   

There are no SBIC Licensees currently located in Puerto Rico

Rhode Island

SBIC Licensees Located in Rhode Island on July 10, 2014

   

BCA Mezzanine Fund II, L.P.

         

      Gregory F. Mulligan, Managing Member

      One Turks Head Place

      Suite 1492

      Providence, RI  02903

      Phone:      (401)228-3834     Fax:  (401)228-3835

      Email:      greg@baycapllc.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

         

BCA Mezzanine Fund, L.P.

         

      Gregory F. Mulligan, Managing Member

      One Turks Head Place

      Suite 1492

      Providence, RI  02903

      Phone:      (401)228-3834     Fax:  (401)228-3835

      Email:      Greg@baycapllc.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

         

South Carolina

SBIC Licensees Located in South Carolina on July 10, 2014

   

   

There are no SBIC Licensees currently located in South Carolina

South Dakota

SBIC Licensees Located in South Dakota on July 10, 2014

   

   

There are no SBIC Licensees currently located in South Dakota

Tennessee

SBIC Licensees Located in Tennessee on July 10, 2014

   

CCSD II, L.P.

         

      R. Burton Harvey

      30 Burton Hills Blvd., Suite 100

      Nashville, TN  37215

      Phone:      (615)690-7183     Fax:  (615)690-7183

      Email:      bharvey@capfunds.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

         

Claritas Capital Specialty Debt Fund, L.P.

         

      R. Burton Harvey, Contact

      30 Burton Hills Boulevard, Suite 100

      Nashville, TN  37215

      Phone:      (615)690-7183     Fax:  (615)690-7183

      Email:      bharvey@capfunds.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

         

 

Harbert Mezzanine Partners II SBIC, L.P.

          

      Pryor Smartt, Contact

      618 Church Street, Suite 500

      Nashville, TN  37219-

      Phone:      (615)301-6395     Fax:  (615)301-6401

         

      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

         

Petra Growth Fund II, L.P.

         

      Robert A. Smith, Contact

      3825 Bedford Avenue

      Suite 101

      Nashville, TN  37215

      Phone:      (615)313-5999     Fax:  (615)313-5990

      Email:      ras@petracapital.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

         

 

Petra Growth Fund III, L.P.

         

      Robert A. Smith

      3825 Bedford Avenue, Suite 101

      Nashville, TN  37215

      Phone:      (615)313-5997     Fax:  (615)313-5990

      Email:      ras@petracapital.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

         

Pharos Capital Partners II, L.P.

         

      Kneeland Youngblood, Contact

      8 Cadillac Dr., Suite 180

      Brentwood, TN  37027-

      Phone:      (615)234-5522     Fax:  (615)263-0234

      Email:      jgoldberg@pharosfunds.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $0

      Preferred Max:    $0

         

      TYPE OF CAPITAL PROVIDED

         

      FUNDING STAGE PREFERENCE

         

      INDUSTRY PREFERENCE

      2% management fee

         

      GEOGRAPHIC PREFERENCES

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Pharos Capital Partners III-A, L.P.

         

      Kneeland Youngblood

      8 Cadillac Dr., Suite 180

      Brentwood, TN  37027-

      Phone:      (615)234-5522     Fax:  (615)263-0234

      Email:      jgoldberg@pharosfunds.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

         

Tenth Street Fund III, L.P.

         

      Bill Nutter

      30 Burton Hills Blvd, Suite 350

      Nashville, TN  37215

      Phone:      (615)665-3636     Fax:  (615)665-3896

      Email:      bill@tenthstreetcapital.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

         

Texas

SBIC Licensees Located in Texas on July 10, 2014

   

BA Capital Company, L.P.

         

      Doug Williamson, Sr. Vice President

      5207 McKinney Ave, Suite 21

      Dallas, TX  75205-

      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

         

Banc of America Capital Investors SBIC, L.P.

         

      5207 McKinney Ave, Suite 21

      Dallas, TX  75205-

         

      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 II, L.P.

         

      Peter J. Huff

      114 West 7th Street, Suite 820

      Austin, TX  78701

      Phone:      (512)536-1901     Fax:  (512)236-9215

      Email:      peter.huff@bluesage.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

         

 

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

      Oklahoma

      Arkansas

      Louisiana

         

      DESCRIPTION OF FIRM'S FOCUS

      Manufacturers, distributions, 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:      tmorris@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

         

      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

      Capital Southwest has the flexibility to

      hold investments indefinitely, which has

      provided its managers a stable ownership

      platform since its founding in 1961.  For

      more info., visit the company's website @

      www.capitalsouthwest.com.

         

 

Dos Rios Partners - A, L.P.

          

      Pat McKinney Baskin, Jr.

      205 Wild Basin Road S.

      Building 3, Suite 100

      Austin, TX  78746

      Phone:      (512)298-0801     Fax:  (512)298-0810

      Email:      kevin.benoit@dosriospartners.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

         

Dos Rios Partners, L.P.

         

      Pat McKinney Baskin, Jr.

      205 Wild Basin Road S.

      Building 3, Suite 100

      Austin, TX  78746

      Phone:      (512)298-0801     Fax:  (512)298-0810

      Email:      kevin.benoit@dosriospartners.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

         

 

Escalate Capital Partners SBIC I, L.P.

         

      Tony Schell, Contact

      300 West 6th Street, Suite 2300

      Austin, TX  78701

      Phone:      (512)651-2105     Fax:  (512)651-2101

      Email:      SBIC@escalatecapital.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

         

 

Independent Bankers Capital Fund II, L.P.

         

      Tom Hoyt, Contact

      1700 Pacific Avenue, Suite 2740

      Dallas, TX  75201

      Phone:      (214)722-6200     Fax:  (214)722-6220

      Email:      thoyt@ibcfund.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

      Equity

         

      FUNDING STAGE PREFERENCE

      Expansion:  25%

      Later:  50%

      Change of control: 25%

         

      INDUSTRY PREFERENCE

      Diversified: no industry with

      more than 25% of the portfolio

         

      GEOGRAPHIC PREFERENCES

      Texas >70%

      Southwest <30%

         

      DESCRIPTION OF FIRM'S FOCUS

      Revenue: up to $10M

      EBITDA: up to $2M

         

 

Independent Bankers Capital Fund, L.P.

         

      Barry Conrad, Tom Hoyt, Contacts

      1700 Pacific Avenue, Suite 2740

      Dallas, TX  75201

      Phone:      (214)722-6200     Fax:  (214)722-6220

      Email:      mtaylor@independentbankerscap.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $5,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Later-stage growth

      Acquisition and expansion

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      Texas

      Southwest

         

      DESCRIPTION OF FIRM'S FOCUS

      Investment strategy focused upon financings

      of lower-middle-market companies with proven

      operating histories located within the

      Southwestern United States.

         

 

LiveOak Venture Partners IA, L.P.

         

      Venu Shamapant

      805 Las Cimas Parkway, Suite 125

      Austin, TX  78746

      Phone:      (512)413-5886     Fax:  (512)900-7977

      Email:      venu@liveoakvp.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 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:    $2,000,000

      Preferred Max:    $15,000,000

         

      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.

         

 

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:    $15,000,000

         

      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.

      Samll concerns with cash flow positive

         

 

Parallel Investment Opportunity Partners II L.P.

         

      Andrei Dorenbaum

      1000 Main Street, Suite 2500

      Houston, TX  77002

      Phone:      (713)209-7365     Fax:  (713)209-7351

      Email:      adorenbaum@capitalroyalty.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

         

Stellus Capital SBIC LP

         

      Dean D'Angelo

      4400 Post Oak Parkway, Suite 2200

      Houston, TX  77027

      Phone:      (713)292-5403     Fax:  (713)292-5450

      Email:      dangelo@stelluscapital.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

         

 

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

      Georgia, Kentucky

      New Mexico

      Louisiana, Florida

         

      DESCRIPTION OF FIRM'S FOCUS

      manufacturing, distribution and services

         

 

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.

         

 

Valesco Commerce Street Capital, L.P.

         

      Daniel H. Moore, Contact

      325 North St. Paul, Suite 3200

      Dallas, TX  75201

      Phone:      (214)880-8690     Fax:  (214)880-8646

      Email:      bmoore@valescoind.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $2,000,000

      Preferred Max:    $7,000,000

         

      TYPE OF CAPITAL PROVIDED

      Mezzanine

      Equity

         

      FUNDING STAGE PREFERENCE

      Expansion

      Acquisition

      Growth

         

      INDUSTRY PREFERENCE

      Manufacturing

      Distribution

      Service

         

      GEOGRAPHIC PREFERENCES

      South-Central, U.S.

         

      DESCRIPTION OF FIRM'S FOCUS

         

Utah

SBIC Licensees Located in Utah on July 10, 2014

   

EPIC Venture Fund IV, LLC

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

Pelion Ventures V Financial Institutions Fund, LP

         

      James Dreyfous

      2755 E. Cottonwood Parkway, Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-0262     Fax:  (801)365-0233

      Email:      jdreyfous@pelionvp.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

         

 

Utah Ventures III, L.P.

         

      Jaquie McKay, Contact

      2755 E. Cottonwood Parkway

      Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-0262     Fax:  (801)365-0233

      Email:      jaquie@pelionvp.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $3,000,000

      Preferred Max:    $10,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

      Bridge loans

         

      FUNDING STAGE PREFERENCE

      Early Stage

         

      INDUSTRY PREFERENCE

      Software, SAS

      Digital Media

      Networking/ Telecomm

      Security

      Medical Devices

         

      GEOGRAPHIC PREFERENCES

      Utah

      Mountain West

      California

         

      DESCRIPTION OF FIRM'S FOCUS

      Find and help develop early state high

      growth companies in software, services,

      networking, security, digital media,

      infrastructure, telecommunications and

      medical devices.

         

 

UTFC Fund II, LLC

         

      Scott Stenberg, Managing Director

      268 S. State Street, Ste 260

      Salt Lake City, UT  84111-

      Phone:      (801)741-4200     Fax:  (801)741-4249

      Email:      scott@innoventures.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $100,000

      Preferred Max:    $500,000

         

      TYPE OF CAPITAL PROVIDED

      Debt

         

      FUNDING STAGE PREFERENCE

      Early growth

         

      INDUSTRY PREFERENCE

      Technology and service

         

      GEOGRAPHIC PREFERENCES

      Utah and surrounding

states

         

      DESCRIPTION OF FIRM'S FOCUS

      Companies that have seen an acceptance of

      their product and need working capital to

      continue to grow sales.

         

UV Partners IV Financial Institutions Fund, L.P.

         

      James Dreyfous, Contact

      2755 East Cottonwood Parkway, Suite 520

      Salt Lake City, UT  84121

      Phone:      (801)365-3262     Fax:  (801)365-0233

      Email:      jaquie@uvpartners.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

         

 

vSpring III D, L.P.

         

      Scott Petty, Contact

      2795 E. Cottonwood Parkway, Suite 360

      Salt Lake City, UT  84121

      Phone:      (801)942-8999     Fax:  (801)942-1636

      Email:      travis@vspring.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

         

vSpring SBIC, L.P.

         

      Travis Heath, Contact

      2795 E. Cottonwood Parkway, Suite 360

      Salt Lake City, UT  84121

      Phone:      (801)942-8999     Fax:  (801)942-1636

      Email:      travis@signalpeakvc.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

         

 

Wasatch Venture Fund II, LLC

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8936     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

Wasatch Venture Fund III, L.L.C.

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

 

Zions SBIC, L.L.C.

         

      Nick Efstratis

      15 W. South Temple, Suite 500

      Salt Lake City, UT  84101

      Phone:      (801)524-8939     Fax:  (801)524-8941

      Email:      ryan@epicvc.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

         

Virginia

SBIC Licensees Located in Virginia on July 10, 2014

   

BIA Digital Partners SBIC II LP

         

      Lloyd Sams, Contact

      15120 Enterprise Court, Suite 200

      Chantilly, VA  20151

      Phone:      (703)227-9600     Fax:  (703)227-9645

      Email:      lsams@bia.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

         

 

Gladstone SSBIC Corporation   (SSBIC)

         

      David Watson, CFO

      1521 Westbranch Drive, Suite 200

      McLean, VA  22102

      Phone:      (703)287-5860     Fax:  (703)287-5801

      Email:      david.watson@gladstonecompanies.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $250,000

      Preferred Max:    $1,000,000

         

      TYPE OF CAPITAL PROVIDED

      Loans

      Equity

         

      FUNDING STAGE PREFERENCE

      Growth

      Expansion

      Later Stage

         

      INDUSTRY PREFERENCE

      Diversified

         

      GEOGRAPHIC PREFERENCES

      North

      South

      Midwest

         

      DESCRIPTION OF FIRM'S FOCUS

         

 

Leeds Novamark Capital I, L.P.

         

      Mark Raterman

      Plaza America Tower II

      11710 Plaza America Drive, Suite 160

      Reston, VA  20190-

      Phone:      (703)651-2149     Fax:  (703)651-2149

      Email:      raterman@leedsnovamark.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

         

 

Solutions Capital I, L.P.

         

      Hagen Saville, Contact

      1001 19th Street North, 10th Floor

      Arlington, VA  22209

      Phone:      (703)247-7500     Fax:  (703)247-7505

      Email:      hsaville@mcgcapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $5,000,000

      Preferred Max:    $19,500,000

         

      TYPE OF CAPITAL PROVIDED

      Debt in support of buyouts and

      recapitalizations

         

      FUNDING STAGE PREFERENCE

      Late Stage

         

      INDUSTRY PREFERENCE

      Diverse

         

      GEOGRAPHIC PREFERENCES

      United States

         

      DESCRIPTION OF FIRM'S FOCUS

      Experience in light manufacturing, business

      services, recurring revenue industries,

      software, media, information services,

      education, healthcare, telecom.

         

 

Virginia Capital SBIC, L.P.

         

      Frederick Russell & Tom Deardorff, Mgrs.

      1801 Libbie Avenue, Suite 201

      Richmond, VA  23226

      Phone:      (804)648-4802     Fax:  (804)648-4809

      Email:      fred@vacapital.com

         

      INVESTMENT CRITERIA

      INVESTMENT SIZE RANGE

      Preferred Min:    $1,000,000

      Preferred Max:    $4,000,000

         

      TYPE OF CAPITAL PROVIDED

      Equity

         

      FUNDING STAGE PREFERENCE

      Growth

         

      INDUSTRY PREFERENCE

      Health care, media,

      communications, insurance,

      and other business and

      consumer services.

         

      GEOGRAPHIC PREFERENCES

      Southeastern U.S.

         

      DESCRIPTION OF FIRM'S FOCUS

      www.vacapital.com/inv_type

         

Virgin Islands

SBIC Licensees Located in Virgin Islands on July 10, 2014

   

   

There are no SBIC Licensees currently located in Virgin Islands

Vermont

SBIC Licensees Located in Vermont on July 10, 2014

   

   

There are no SBIC Licensees currently located in Vermont

Washington

SBIC Licensees Located in Washington on July 10, 2014

   

   

There are no SBIC Licensees currently located in Washington

Wisconsin

SBIC Licensees Located in Winconsin on July 10, 2014

   

   

There are no SBIC Licensees currently located in Winconsin

West Virginia

SBIC Licensees Located in West Virginia on July 10, 2014

   

   

There are no SBIC Licensees currently located in West Virginia

Wyoming

SBIC Licensees Located in Wyoming on July 10, 2014

   

   

There are no SBIC Licensees currently located in Wyoming

 

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