SBIC Licensees Located in New York on January 13, 2009 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: MSlodowitz@accretivellc.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,500,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE 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. ACI Capital America Fund, L.P. Kevin Penn, Thomas Israel, Jim Mattutat 666 Third Avenue, 29th Floor New York, NY 10017 Phone: (212)634-3333 Fax: (212)634-3330 Email: jemattutat@acicapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS AEA Investors Small Business Fund LP John F. Cozzi, Contact 55 East 52nd Street, 35th Floor New York, NY 10055 Phone: (212)702-0504 Fax: (212)702-0550 Email: jcozzi@aeainvestors.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Argentum Capital Partners II, L.P. Daniel Raynor, Chairman 60 Madison Avenue, Suite 701 New York, NY 10110 Phone: (212)949-6262 Fax: (212)949-8294 Email: sdberman@argentumgroup.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $10,000,000 TYPE OF CAPITAL PROVIDED Equity Debt FUNDING STAGE 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 BMO Capital Markets Equity Investments (US) Peter Hurwitz - Managing Director 3 Times Square 28th. Floor New York, NY 10036 Phone: (212)605-1687 Fax: (212)765-8000 Email: helen.schubbe@bmonb.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $7,000,000 Preferred Max: $12,000,000 TYPE OF CAPITAL PROVIDED No Start-Ups Min Revenue $20K FUNDING STAGE PREFERENCE Acquisition Mezzanine Buyouts Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Invest in companies with established mgt. teams and stable cash flows. Will consider investments in turnaround situations and later stage growth capital. No start-ups, minimum revenue $20 million. BNY Capital Partners, L.P. Stratton Heath, Paul Echausse 200 Park Avenue 55th Floor New York, NY 10166 Phone: (212)922-8195 Fax: (212)922-6585 Email: pechausse@bankofny.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS BOCNY, LLC W. Stephen Keller c/o Stonehenge Capital Corporation 152 West 57th Street, 20th Floor New York, NY 10019 Phone: (212)944-2542 Fax: (212)656-1344 Email: adkocen@stonehengecapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Brookside Pecks Capital Partners, L.P. Ray Weldon 405 Park Avenue, 12th Floor New York, NY 10022- Phone: (212)935-6090 Fax: (212)759-4831 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Cephas Capital Partners L.P. Clint Campbell, Jeff Holmes, Mgrs. 57 Monroe Avenue, Suite D Pittsford, NY 14534 Phone: (585)383-1610 Fax: (585)383-1613 Email: ccampbell@cephascapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Debt Subordinated Debt Preferred Stock FUNDING STAGE PREFERENCE Acquisition Growth MBO Recaptialization INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Upstate New York DESCRIPTION OF FIRM'S FOCUS Seeks to invest in established companies with experienced management teams with opportunities for growth. CIBC WMV Inc. David Shotland, Managing Director 425 Lexington Avenue, 9th Floor New York, NY 10017 Phone: (212)856-4072 Fax: (212)697-1544 Email: David.Shotland@US.CIBC.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Citicorp Venture Capital, Ltd. Meghan Fogarty 399 Park Avenue, 14th Floor/Zone 4 New York, NY 10043 Phone: (212)783-1233 Fax: (212)793-9200 Email: meghan.fogarty@citi.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE PREFERENCE MBO INDUSTRY PREFERENCE Industrial Manufacturing Distribution No High Tech GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Critical Capital Growth Fund, L.P. Steven Sands Mgr; C. Robinson 90 Park Avenue, 31st Floor New York, NY 10016 Phone: (212)697-5200 Fax: (212)697-8035 Email: crobinson@laidlawltd.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE 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 East Coast Venture Capital, Inc. (SSBIC) Fredrick Schulman, President 30 East 29th Street, Suite 204 New York, NY 10016 Phone: (212)686-1515 Fax: (212)686-1131 Email: fstart@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $50,000 Preferred Max: $200,000 TYPE OF CAPITAL PROVIDED Loans Equity FUNDING STAGE PREFERENCE Seed Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Regional DESCRIPTION OF FIRM'S FOCUS Easton Hunt Capital Partners, L.P. John H. Friedman, Contact 767 Third Avenue, 7th Floor New York, NY 10017 Phone: (212)702-0950 Fax: (212)702-0952 Email: schneider@eastoncapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Elk Associates Funding Corporation Gary C. Granoff, President 747 Third Avenue New York, NY 10017 Phone: (212)421-2111 Fax: (212)759-3338 Email: lforlenza@elkassociates.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $300,000 TYPE OF CAPITAL PROVIDED Secured Loans Some Debt /w Equity FUNDING STAGE PREFERENCE Later Stage INDUSTRY PREFERENCE Transportation Diversified GEOGRAPHIC PREFERENCES Northeast South FL Illinois DESCRIPTION OF FIRM'S FOCUS Emigrant Capital Corporation Kenneth L. Walters Jr. 6 East 43rd Street 8th Floor New York, NY 10017 Phone: (212)850-4470 Fax: (212)850-3470 Email: WaltersK@emigrant.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Empire State Capital Corporation (SSBIC) Mitzi Wu, Vice President 170 Broadway, Suite 404 New York, NY 10038 Phone: (212)513-1799 Fax: (212)513-1892 Email: ESC5131799@aol.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Loans Equity Investments FUNDING STAGE PREFERENCE Early Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Atlantic Region DESCRIPTION OF FIRM'S FOCUS Eos Partners SBIC II, L.P. Steven Friedman & Brian Young, Manager 320 Park Avenue, 22nd Floor New York, NY 10022 Phone: (212)832-5800 Fax: (212)832-5805 Email: bbernstein@eospartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE 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 Eos Partners SBIC, L.P. Steven Friedman, Partner 320 Park Avenue, 22nd Floor New York, NY 10022 Phone: (212)832-5814 Fax: (212)832-5815 Email: bbernstein@eospartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $1,000,000 Preferred Max: $5,000,000 TYPE OF CAPITAL PROVIDED Equity Debt w/Equity FUNDING STAGE PREFERENCE Early Stage Expansion Later LBO INDUSTRY PREFERENCE Telecommunications Media Health Services Business Outsourcing GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS Falcon Private Equity, L.P. Gregga Baxter, Matthew Snyder, Contacts 330 Madison Avenue - 37th Floor New York, NY 10017-4627 Phone: (212)922-2333 Fax: (212)922-2351 Email: gregga.baxter@saudibank.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: Preferred Max: TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Fidus Mezzanine Capital, L.P. 126 E. 56th Street Suite 2120 New York, NY 10022 INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE 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: darton@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 Fundex Capital Corp. Larry Linksman, President 50 Main Street, Suite 1000 White Plains, NY 10606 Phone: (212)884-9360 Fax: (212)884-9346 Email: L.Linksman@fundexcapital.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $500,000 Preferred Max: $1,000,000 TYPE OF CAPITAL PROVIDED Subordinated Debt w/Equity Loans Debt FUNDING STAGE PREFERENCE Early Stage Expansion INDUSTRY PREFERENCE Consumer Products Communications Medical/Health Specialty Retail Diversiifed GEOGRAPHIC PREFERENCES Tri-State (NY, NJ, CT) DESCRIPTION OF FIRM'S FOCUS Focus on good management with good products or services, with a proven track record of successful operations, or absent the above, require suitable collateralizion. Gefus SBIC, L.P. William J. Beckett 375 Park Avenue, Suite 2401 New York, NY 10152 Phone: (212)308-1111 Fax: (212)308-1182 Email: wbeckett@gefinorusa.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS High Peaks Ventures, L.P. Russell Howard, Contact 10 Second Street Troy, NY 12180 Phone: (518)720-3090 Fax: (518)720-3091 Email: russ@highpeaksventures.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Hudson Venture Partners II, L.P. Dr. Lawrence A. Howard, Contact 535 Fifth Avenue, 14th Floor New York, NY 10017 Phone: (212)644-9797 Fax: (212)644-7430 Email: jtruehart@hudsonptr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Ibero American Investors Corp. Emilio Serrano , President 104 Scio Street Rochester, NY 14604 Phone: (585)262-3440 Fax: (585)262-3441 Email: iberoinv@rochester.rr.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $100,000 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Loans Equity Lines of Credit FUNDING STAGE PREFERENCE Early Stage Expansion INDUSTRY PREFERENCE Diversified GEOGRAPHIC PREFERENCES Northeast Southeast DESCRIPTION OF FIRM'S FOCUS Focus is in the manufacturing, service and retail areas. Early stage and expansion financing preferred. Ibero American Investors Corp. Christine Ryan, Loan Officer Statler Towers Bldg. 107 Delaware Avenue, Suite 64 Buffalo, NY 14202 Phone: (716)842-9908 Fax: (716)842-9925 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 ING Furman Selz Investments Brian Friedman, Manager 520 Madison Avenue 8th Floor New York, NY 10022 Phone: (212)284-1708 Fax: (212)284-1717 Email: mluxenberg@fsprivate.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $6,000,000 TYPE OF CAPITAL PROVIDED Equity Debt FUNDING STAGE PREFERENCE Expansion Later Stage No Start-ups INDUSTRY PREFERENCE Consumer and Retail Healthcare Information Technology Industrial Manufacturing Media/Communications GEOGRAPHIC PREFERENCES National DESCRIPTION OF FIRM'S FOCUS KBL Healthcare, L.P. Marlene Krauss, Michael Kaswan 380 Lexington Avenue, 31st Floor New York, NY 10022 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 888 7th Avenue 16th Floor New York, NY 10106 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 L Capital Partners SBIC, LP Oded Weiss, Contact 10 East 53rd Street, 37th Floor New York, NY 10022 Phone: (212)675-7755 Fax: (212)206-9156 Email: oded@lcapitalpartners.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 LEG Partners Debenture SBIC, L.P. Lawrence Golub, Manager 551 Madison Avenue 6th Floor New York, NY 10022 Phone: (212)750-6060 Fax: (212)750-5505 Email: rzomback@golubcapital.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 LEG Partners III SBIC, L.P. Lawrence Golub, Manager 551 Madison Avenue 6th Floor New York, NY 10022 Phone: (212)750-6060 Fax: (212)750-5505 Email: rzomback@golubcapital.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 M & T Capital Corp. Tom Scanlon, President One Fountain Plaza 3rd Floor Buffalo, NY 14203 Phone: (716)848-3800 Fax: (716)848-3150 Email: tscanlon1@mandtbank.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 Medallion Funding Corporation 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 Merchants Capital Partners, L.P. G. Cohen, P. Beach, R. Martin, Mgrs. 275 Madison Avenue, 21st Floor New York, NY 10016 Phone: (212)972-2200 Fax: (212)972-2400 Email: jwesner@merchantscapitalpartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $2,000,000 Preferred Max: $4,000,000 TYPE OF CAPITAL PROVIDED Common stock, convertible preferred stock or subordinate debt with stock warrants FUNDING STAGE PREFERENCE Later stage growth capital INDUSTRY PREFERENCE Business services franchise chain restaurant speciality retial industries GEOGRAPHIC PREFERENCES No geopraphic perference DESCRIPTION OF FIRM'S FOCUS Invests in seasoned & expansion-stage growth companies with experienced management teams. Prefer middle market companies in growth industries such as restaurants, communications, and business services. Require $5MM in rev. and $1MM in cash flow. Merchants Capital Partners, L.P. Jake Wessner 1120 Avenue of the Americas - 4th Floor New York, NY 10036- Phone: (212)626-6832 Fax: (212)626-6833 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. NBT Capital Corporation Daryl Forsythe & Joe Minor, Managers 52 South Broad Street Norwich, NY 13815 Phone: (607)337-6810 Fax: (607)336-8730 Email: rpowell@nbtbank.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $300,000 Preferred Max: $500,000 TYPE OF CAPITAL PROVIDED Equity Subordinated Debt Loans FUNDING STAGE PREFERENCE Expansion Acquisition Later Stage Early Stage INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES Upstate NY Northeast Mid-Atlantic DESCRIPTION OF FIRM'S FOCUS Our primary interest is to provide a source of capital for business expansion in upstate NY. 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: $0 Preferred Max: $0 TYPE OF CAPITAL PROVIDED FUNDING STAGE PREFERENCE INDUSTRY PREFERENCE GEOGRAPHIC PREFERENCES DESCRIPTION OF FIRM'S FOCUS Radius Venture Partners II, L.P. Daniel C. Lubin, Contact 400 Madison Avenue, 8th Floor New York, NY 10017 Phone: (212)897-7784 Fax: (212)397-2656 Email: dlubin@radiusventures.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, L.P. Allen F. Grum, Jr., Contact 2200 Rand Buidling 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 Rock Maple Ventures, L.P. David W. Freelove, Contact 711 Fifth Avenue, 5th Floor New York, NY 10022 Phone: (212)813-2720 Fax: (212)813-2730 Email: dfreelove@rockmapleventures.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 Scorpion Capital Partners, L.P. Kevin R. McCarthy, Contact 245 Fifth Avenue, 25th Floor New York, NY 10016 Phone: (212)213-9190 Fax: (212)213-9607 Email: Kmccarthy@scorpioncap.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 Summer Street Capital Fund I, L.P. Brian D'Amico 70 West Chippewa Street Suite 500 Buffalo, NY 14202 Phone: (716)566-2900 Fax: (716)566-2910 Email: bdamico@summerstreetcapital.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 Sunrise Equity Partners, L.P. Marilyn S. Adler, Contact 641 Lexington Avenue, 25th Floor New York, NY 10022 Phone: (212)421-1616 Fax: (212)750-7277 Email: marilyna@sunrisecorp.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 The 1818 SBIC Fund, L.P. Richard J. Ragoza, Contact c/o Brown Brothers Harriman & Co. 140 Broadway, 2nd Floor New York, NY 10005 Phone: (212)493-7910 Fax: (212)493-8832 Email: rick.ragoza@bbh.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) Oscar Figueroa - Investment Manager 305 Seventh Avenue, 20th Floor New York, NY 10001 Phone: (212)243-7360 Fax: (212)243-7647 Email: ofigueroa@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 Trumpet SBIC Partners, L.P. Marc Utay, Contact 110 East 59th Street, Suite 2100 New York, NY 10022 Phone: (212)821-0177 Fax: (212)371-7597 Email: mutay@clarion-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 Westbury Equity Partners SBIC, L.P. Richard P. Sicoli, Contact 100 Motor Parkway, Suite 165 Hauppauge, NY 11788 Phone: (631)231-4121 Fax: (631)231-8121 Email: rsicoli@westburypartners.com INVESTMENT CRITERIA INVESTMENT SIZE RANGE Preferred Min: $3,000,000 Preferred Max: $9,000,000 TYPE OF CAPITAL PROVIDED Equity FUNDING STAGE PREFERENCE Mid to Late Stage INDUSTRY PREFERENCE Information Technology, Training & Education Outsourcing, Specialty Manufacturing GEOGRAPHIC PREFERENCES None DESCRIPTION OF FIRM'S FOCUS Since its founding in 1994, Westbury Partner has been providing value-added capital to privately owned, emerging growth companies. Westbury invests as lead investor or participant, partnering with experienced, like-minded firms. Westbury Investment Partners SBIC, L.P. Richard P. Sicoli, Contact 100 Motor Parkway, Suite 165 Hauppauge, NY 11788 Phone: (631)231-4121 Fax: (631)231-8121 Email: rsicoli@westburypartners.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