U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding Company Act of 1935 or
Section 30(f) of the Investment Company Act of 1940
[_] Check box if no longer subject of Section 16. Form 4 or Form 5 obligations
may continue. See Instruction 1(b).
________________________________________________________________________________
1. Name and Address of Reporting Person*
Chase Venture Capital Associates, LLC ("CVCA, LLC")
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(Last) (First) (Middle)
c/o Chase Capital Partners
1221 Avenue of the Americas-40th Floor
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(Street)
New York New York 10020
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(City) (State) (Zip)
________________________________________________________________________________
2. Issuer Name and Ticker or Trading Symbol
Patina Oil & Gas Corporation ("POG")
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Statement for Month/Year
September 2000
________________________________________________________________________________
5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
________________________________________________________________________________
7. Individual or Joint/Group Filing (Check applicable line)
[_] Form filed by one Reporting Person
[X] Form filed by more than one Reporting Person
________________________________________________________________________________
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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<TABLE>
<CAPTION>
6.
4. 5. Owner-
Securities Acquired (A) or Amount of ship
3. Disposed of (D) Securities Form: 7.
Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of
2. Code ------------------------------- Owned at End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Common Stock 9/15/00 A (FN 1) 114 A $21.937 1,866,391 (FN 2) (FN 2)
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Common Stock 9/18/00 C 1,779,795 N/A N/A 1,866,391 (FN 2) (FN 2)
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</TABLE>
* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Responses)
(Over)
(Form 4-07/99)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
10.
9. Owner-
Number ship
of Form
2. Deriv- of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
or Derivative 6. of Underlying 8. ities Secur- of
Exer- 4. Securities Date Securities Price Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and Instr. 3 and 4) of ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4)
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<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Convertible Common
Preferred Stock $2.6316 9/18/00 C 676,317 Immed N/A Stock 1,779,795 N/A 0 D
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Non-Qualified Common
Stock Option $2.9375 N/A N/A N/A N/A Immed 2/18/04 Stock 5,000 N/A 15,000 I (FN 3)
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Non-Qualified Common
Stock Option $5.1250 N/A N/A N/A N/A Immed 5/29/04 Stock 5,000 N/A 20,000 I (FN 3)
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Non-Qualified Common
Stock Option $17.4375 N/A N/A N/A N/A Immed 5/25/05 Stock 5,000 N/A 25,000 I (FN 3)
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</TABLE>
Explanation of Responses:
(1) Director's fee quarterly grant; issued to Chase Venture Capital
Associates, LLC ("CVCA, LLC"). Christopher Behrens, a director of the issuer
and a general partner of the investment manager of CVCA, LLC, is obligated to
transfer all shares awarded as director's compensation to CVCA, LLC.
(2) The amounts shown in Tables I and II represent the direct and indirect
beneficial ownership of the Issuer's equity securities by CVCA, LLC and
Christopher Behrens, respectively. Mr. Behrens is a director of the Issuer
and general partner of Chase Capital Partners ("CCP"), which is the manager,
by delegation, of CVCA, LLC.
(3) Stock option grant for non-employee directors issued pursuant to the 1996
Patina Non-Employee Stock Option Plan. Exercisable as follows: 30% on first
anniversary date of transaction, 30% on second anniversary date of
transaction, and 40% on third anniversary. Christopher Behrens, a director of
the issuer and a general partner of CCP, is obligated to exercise each of the
options upon the request of CVCA, LLC and to transfer all shares received upon
such exercise to CVCA, LLC.
Chase Venture Capital Associates, LLC
/s/ Jeffrey C. Walker 10/10/00
By: -------------------------------------------- -----------------------
Jeffrey C. Walker Date
Managing General Partner of Chase Capital Partners
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED STATEMENT ISSUER NAME, TICKER
REPORTING PERSON REPORTER (Note 1) FOR OR TRADING SYMBOL
MONTH/YEAR
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Ana Carolina Aidar Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
Rua Verbo Divino,
1400
Sao Paulo, Brazil,
SP 04719-002
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John R. Baron Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Christopher C. Behrens Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-----------------------------------------------------------------------------------------------------------------------------
Mitchell J. Blutt Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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David S. Britts Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
50 California Street
San Francisco, CA
94111
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Arnold L. Chavkin Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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David J. Gilbert Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Eric A. Green Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Michael R. Hannon Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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<CAPTION>
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NAME AND ADDRESS OF TITLE OF AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON SECURITY SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
BENEFICIALLY INDIRECT (I) INTEREST
OWNED
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<S> <C> <C> <C> <C> <C>
Ana Carolina Aidar See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
Rua Verbo Divino,
1400
Sao Paulo, Brazil,
SP 04719-002
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John R. Baron See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Christopher C. See Tables I and II See Tables I and II I See Explanatory No
Behrens Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Mitchell J. Blutt See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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David S. Britts See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
50 California Street
San Francisco, CA
94111
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Arnold L. Chavkin See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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David J. Gilbert See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Eric A. Green See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Michael R. Hannon See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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</TABLE>
-1-
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED STATEMENT ISSUER NAME, TICKER
REPORTING PERSON REPORTER (Note 1) FOR OR TRADING SYMBOL
MONTH/YEAR
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<S> <C> <C> <C>
Donald J. Hofmann Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Jonathan Meggs Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
125 London Wall
London EC2Y 5AJ,
United Kingdom
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Thomas Mendell Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Stephen P. Murray Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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John M.B. O'Connor Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Robert Rugggiero
c/o Chase Capital Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Partners Capital Associates,
1221 Avenue of the Americas LLC
40th Floor
New York, NY 10020
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Susan L. Segal Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Shahan D. Soghikian Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
50 California
Street, Suite 2940
San Francisco, CA
94111
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Lindsay Stuart Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
125 London Wall
London EC2Y 5AJ,
United Kingdom
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Patrick Sullivan Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Charles Walker Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
One Bush Street
San Francisco, CA 94104
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Jeffrey C. Walker Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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<CAPTION>
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NAME AND ADDRESS OF TITLE OF AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON SECURITY SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
BENEFICIALLY INDIRECT (I) INTEREST
OWNED
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Donald J. Hofmann See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Jonathan Meggs See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
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Thomas Mendell See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Stephen P. Murray See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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John M.B. O'Connor See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Robert Rugggiero See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Susan L. Segal See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Shahan D. Soghikian See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
50 California
Street, Suite 2940
San Francisco, CA
94111
------------------------------------------------------------------------------------------------------------------------------------
Lindsay Stuart See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
------------------------------------------------------------------------------------------------------------------------------------
Patrick Sullivan See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Charles Walker See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
One Bush Street
San Francisco, CA 94104
------------------------------------------------------------------------------------------------------------------------------------
Jeffrey C. Walker See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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</TABLE>
-2-
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED STATEMENT ISSUER NAME, TICKER
REPORTING PERSON REPORTER(Note 1) FOR OR TRADING SYMBOL
MONTH/YEAR
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Timothy J. Walsh Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Richard D. Waters Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Damion E. Wicker Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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Eric Wilkison Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP European Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Principals, LLC Capital Associates,
c/o Chase Capital LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP Principals, LLC
c/o Chase Capital Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Partners Capital Associates,
1221 Avenue of the Americas LLC
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Chase Capital Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Corporation Capital Associates,
c/o Chase Capital LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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The Chase Manhattan Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Corporation Capital Associates,
270 Park Avenue LLC
35th Floor
New York, NY 10020
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Chase Capital Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Partners Capital Associates,
1221 Avenue of the Americas LLC
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Chatham Ventures, Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
Corporation c/o Chase Capital Associates,
Capital Partners LLC
1221 Avenue of the Americas
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
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NAME AND ADDRESS OF TITLE OF AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON SECURITY SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
BENEFICIALLY INDIRECT (I) INTEREST
OWNED
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Timothy J. Walsh See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Richard D. Waters See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Damion E. Wicker See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 3 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-----------------------------------------------------------------------------------------------------------------------------------
Eric Wilkinson See Tables I and II See Tables I and II I See Explanatory Yes
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP European See Tables I and II See Tables I and II I See Explanatory No
Principals, LLC Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP Principals, LLC See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 2 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Chase Capital See Tables I and II See Tables I and II I See Explanatory No
Corporation Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
The Chase Manhattan See Tables I and II See Tables I and II I See Explanatory No
Corporation Note 4 below
270 Park Avenue
35th Floor
New York, NY 10017
------------------------------------------------------------------------------------------------------------------------------------
Chase Capital See Tables I and II See Tables I and II I See Explanatory No
Partners Note 5 below
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 6 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Chatham Ventures, See Tables I and II See Tables I and II I See Explanatory No
Corporation c/o Chase Note 7 below
Capital Partners
1221 Avenue of the Americas
New York, NY 10020
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</TABLE>
-3-
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED STATEMENT ISSUER NAME, TICKER
REPORTING PERSON REPORTER(Note 1) FOR OR TRADING SYMBOL
MONTH/YEAR
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
I. Robert Greene Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Flatiron Capital Associates,
Partners LLC
257 Park Avenue
South 40th Floor
New York, NY 10010
------------------------------------------------------------------------------------------------------------------------------------
Brian J. Richmand Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Jonas Steinmann Chase Venture September, 2000 Patina Oil & Gas, Corporation ("POG")
c/o Chase Capital Capital Associates,
Partners LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
<CAPTION>
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NAME AND ADDRESS OF TITLE OF AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON SECURITY SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
BENEFICIALLY INDIRECT (I) INTEREST
OWNED
------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
I. Robert Greene See Tables I and II See Tables I and II I See Explanatory No
c/o Flatiron Note 8 below
Partners
257 Park Avenue
South 40th Floor
New York, NY 10010
------------------------------------------------------------------------------------------------------------------------------------
Brian J. Richmand See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 9 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------------------------------------
Jonas Steinmann See Tables I and II See Tables I and II I See Explanatory No
c/o Chase Capital Note 10 below
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
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</TABLE>
Explanatory Notes:
1) The Designated Reporter is executing this report on behalf of all
reporting persons, each of whom has authorized it to do so.
2) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because the reporting person is a partner
of Chase Capital Partners ("CCP"), which is (a) the sole managing member of
CCP-SBIC Manager, LLC ("CCP-SBIC"), the sole managing member of CVCA, LLC and
(b) the manager, by delegation, of CVCA, LLC, pursuant to an advisory agreement
with CCP-SBIC. The actual pro rata portion of such beneficial ownership that may
be deemed to be attributable to the reporting person is not readily determinable
because it is subject to several variables, including internal rate of return
and vesting of interests within CCP and CVCA, LLC.
3) The reporting person is a director of the Issuer. The amounts shown in Tables
I and II represent the beneficial ownership of the Issuer's equity securities by
CVCA, LLC, a portion of which may be deemed attributable to the reporting person
because he is a general partner of CCP, the sole managing member of CCP-SBIC and
the manager, by delegation, of CVCA, LLC. The actual pro rata portion of such
beneficial ownership is not readily determinable because it is subject to
several variables, including the internal rate of return and vesting of
interests within CCP and CVCA, LLC.
4) The amounts shown in Tables I and II represent beneficial ownership of the
Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because it is (a) the sole stockholder of
Chase Capital Corporation, a general partner of CCP, the sole managing member of
CCP-SBIC and the manager, by delegation, of CVCA, LLC and (b) the sole
stockholder of the non-managing member of CVCA, LLC. The actual pro rata portion
of such beneficial ownership that may be attributable to the reporting person is
not readily determinable because it is subject to several variables, including
the internal rate of return and vesting of interests within CCP and CVCA, LLC.
5) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because it is (a) the sole managing member
of CCP-SBIC, the sole managing member CVCA and (b) the manager, by delegation,
of CVCA, LLC pursuant to an advisory agreement with CCP-SBIC. The actual pro
rata portion of such beneficial ownership that may be deemed to be attributable
to the reporting person is not readily determinable because it is subject to
several variables, including the internal rate of return and vesting of
interests within CCP and CVCA, LLC.
6) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because it is the sole managing member of
CVCA, LLC. The actual pro rata portion of such beneficial ownership that may be
deemed to be attributable to the reporting person is not readily determinable
because it is subject to several variables, including the internal rate of
return and vesting of interests within CVCA, LLC.
7) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because it is the non-managing member of
CVCA, LLC. The actual pro rata portion of such beneficial ownership that may be
deemed to be attributable to the reporting person is not readily determinable
because it is subject to several variables, including the internal rate of
return and vesting of interests within CVCA, LLC.
8) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because he was a general partner of CCP,
the sole managing member of CCP-SBIC and the manager, by delegation, of CVCA,
LLC, until May 31, 1999. The actual pro rata portion of such beneficial
ownership that may be deemed to be attributable to the reporting person is not
readily determinable because it is subject to several variables, including the
internal rate of return and vesting within CCP and CVCA, LLC.
9) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because he was a general partner of CCP,
the sole managing member of CCP-SBIC and the manager, by delegation, of CVCA,
LLC, until December 31, 1999. The actual pro rata portion of such beneficial
ownership that may be deemed to be attributable to the reporting person is not
readily determinable because it is subject to several variables, including the
internal rate of return and vesting within CCP and CVCA, LLC.
10) The amounts shown in Tables I and II represent the beneficial ownership of
the Issuer's equity securities by CVCA, LLC, a portion of which may be deemed
attributable to the reporting person because he was a general partner of CCP,
the sole managing member of CCP-SBIC and the manager, by delegation, of CVCA,
LLC, until July 1, 1999. The actual pro rata portion of such beneficial
ownership that may be deemed to be attributable to the reporting person is not
readily determinable because it is subject to several variables, including the
internal rate of return and vesting within CCP and CVCA, LLC.
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