U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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 this box if no longer subject to Section 16. Form 4 or Form 5
obligations may continue. See Instruction 1(b).
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1. Name and Address of Reporting Person*
Chase Venture Capital Associates, LLC ("CVCA, LLC") (FN 1)
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(Last) (First) (Middle)
c/o Chase Capital Partners
380 Madison Avenue-12th Floor
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(Street)
New York New York 10017
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Multex.com, Inc. ("MLTX")
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
January 2000
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5. If Amendment, Date of Original (Month/Year)
March 1999
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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)
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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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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
<PAGE>
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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 3/16/99 C 1,320,034 A N/A 3,042,118 D
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Common Stock 3/16/99 C 802,084 A N/A 3,042,118 D
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Common Stock 3/16/99 C 920,000 A N/A 3,042,118 D
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====================================================================================================================================
</TABLE>
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
Page 1 of 2
<PAGE>
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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<TABLE>
<CAPTION>
9. 10.
Number Owner-
of ship
2. Deriv- Form of
Conver- 5. 7. ative Deriv- 11.
sion Number of Title and Amount Secur- ative Nature
of 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>
Series C 1 for 3/16/99 C 26,401 Immed. Common 1,320,034
100 Stock (FN 2)
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Series D 1 for 3/16/99 C 16,042 Immed. Common 802,084
100 Stock (FN 2)
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Series E 1 for 3/16/99 C 18,400 Immed. Common 920,000
100 Stock (FN 2)
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====================================================================================================================================
</TABLE>
Explanation of Responses:
(1) Pursuant to an internal reorganization effective as of January 1, 2000, (i)
Chase Venture Capital Associates, LLC ("CVCA, LLC") became the successor to
Chase Venture Capital Associates, LP ("CVCA, LP"), (ii) CCP-SBIC Manager, LLC, a
newly organized wholly-owned subsidiary of Chase Capital Partners ("CCP"),
became the managing member of CVCA, LLC, and (iii) CCP-CMC Consolidating, LLC
("Consolidating"), a newly-organized affiliate of CCP, became the non-managing
member of CVCA, LLC. CCP is the managing member of Consolidating, and pursuant
to a master advisory agreement with CCP-SBIC and Consolidating, the manager, by
delegation, of CVCA, LLC. Prior to the internal reorganization, CCP was the
general partner, and the sole shareholder of Consolidating was the limited
partner, of CVCA, LP. The internal reorganization changed CVCA, LP's name and
form of organization but did not alter the proportionate interests of its
ultimate security holders.
(2) Reflects a one for 2 reverse stock split of all outstanding shares that was
affected on March 17, 1999.
** Intentional misstatements or omissions of facts constitute Federal Criminal
Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Chase Venture Capital Associates, LLC
** Signature of Reporting Person
By: Chase Capital Partners, as Manager
By: /s/
----------------------------------
Title: ___________________ of Chase
Capital Partners 2/ /2000
---------
Date
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 2 of 7
<PAGE>
<TABLE>
<CAPTION>
Name and Address of Designated Reporter(1) Statement for Issuer Name, Ticker Title of Amount of Securities
Reporting Person month/year or Trading Symbol Security Beneficially Owned
- - ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Ana Carolina Aidar Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
Rua Verbo Divino, 1400
Sao Paulo, Brazil, SP
04719-002
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John R. Baron Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Christopher C. Behrens Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Mitchell J. Blutt Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
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David S. Britts Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
50 California Street
San Francisco, CA 94111
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Arnold L. Chavkin Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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David J. Gilbert Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
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Eric A. Green Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
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Michael R. Hannon Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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<CAPTION>
Name and Address of Designated Reporter(1) Ownership Form: Nature of Indirect Disclaims
Reporting Person Direct (D) or Beneficial Ownership Pecuniary Interest
Indirect (I)
- - -----------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C>
Ana Carolina Aidar Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
Rua Verbo Divino, 1400
Sao Paulo, Brazil, SP
04719-002
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John R. Baron Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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Christopher C. Behrens Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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Mitchell J. Blutt Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue
12th Floor
New York, NY 10017
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David S. Britts Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
50 California Street
San Francisco, CA 94111
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Arnold L. Chavkin Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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David J. Gilbert Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue
12th Floor
New York, NY 10017
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Eric A. Green Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue
12th Floor
New York, NY 10017
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Michael R. Hannon Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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</TABLE>
Page 3 of 7
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
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Donald J. Hofmann Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Jonathan Meggs Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
125 London Wall
London EC2Y 5AJ, United
Kingdom
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Stephen P. Murray Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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John M.B. O'Connor Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Bob Rugggiero Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Susan L. Segal Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th Floor
New York, NY 10017
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Shahan D. Soghikian Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Associates, LLC
Partners
50 California Street, Suite
2940
San Francisco, CA 94111
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Lindsay Stuart Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
125 London Wall
London EC2Y 5AJ, United
Kingdom
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Patrick Sullivan Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
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Jeffrey C. Walker Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
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</TABLE>
<TABLE>
<S> <C> <C> <C> <C>
- - -----------------------------------------------------------------------------------------------------------------------
Donald J. Hofmann Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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Jonathan Meggs Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
125 London Wall
London EC2Y 5AJ, United
Kingdom
- - -----------------------------------------------------------------------------------------------------------------------
Stephen P. Murray Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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John M.B. O'Connor Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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Bob Rugggiero Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
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Susan L. Segal Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th Floor
New York, NY 10017
- - -----------------------------------------------------------------------------------------------------------------------
Shahan D. Soghikian Chase Venture Capital I See Explanatory No
c/o Chase Capital Associates, LLC Note 2 below
Partners
50 California Street, Suite
2940
San Francisco, CA 94111
- - -----------------------------------------------------------------------------------------------------------------------
Lindsay Stuart Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
125 London Wall
London EC2Y 5AJ, United
Kingdom
- - -----------------------------------------------------------------------------------------------------------------------
Patrick Sullivan Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - -----------------------------------------------------------------------------------------------------------------------
Jeffrey C. Walker Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
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</TABLE>
Page 4 of 7
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
- - ------------------------------------------------------------------------------------------------------------------------------
Timothy J. Walsh Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
Richard D. Waters Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
Damion E. Wicker Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
CCP European Principals, LLC Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
CCP Principals, LLC Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
Chase Capital Corporation Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
The Chase Manhattan Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
Corporation Associates, LLC
270 Park Avenue
35th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
Chase Capital Partners Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
380 Madison Avenue 12th Associates, LLC
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
CCP-CMC Consolidating, LLC Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<TABLE>
<S> <C> <C> <C> <C>
- - ------------------------------------------------------------------------------------------------------------------------
Timothy J. Walsh Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
Richard D. Waters Chase Venture Capital I See Explanatory Yes
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
Damion E. Wicker Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
CCP European Principals, LLC Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
CCP Principals, LLC Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
Chase Capital Corporation Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 2 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
The Chase Manhattan Chase Venture Capital I See Explanatory Note No
Corporation Associates, LLC 3 below
270 Park Avenue
35th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
Chase Capital Partners Chase Venture Capital I See Explanatory No
380 Madison Avenue 12th Associates, LLC Note 4 below
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 5 below
380 Madison Avenue
12th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
CCP-CMC Consolidating, LLC Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 6 below
380 Madison Avenue
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 5 of 7
<PAGE>
<TABLE>
<S> <C> <C> <C> <C> <C>
- - ------------------------------------------------------------------------------------------------------------------------------
David L. Ferguson Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
I. Robert Greene Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Flatiron Partners Associates, LLC
257 Park Avenue South 12th
Floor
New York, NY 10010
- - ------------------------------------------------------------------------------------------------------------------------------
Brian J. Richmand Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue
12th Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
Jonas Steinmann Chase Venture Capital January, 2000 Multex.com, Inc. ("MLTX") Common Stock 3,042,118
c/o Chase Capital Partners Associates, LLC
380 Madison Avenue 12th
Floor
New York, NY 10017
- - ------------------------------------------------------------------------------------------------------------------------------
</TABLE>
<TABLE>
<S> <C> <C> <C> <C>
- - ------------------------------------------------------------------------------------------------------------------------
David L. Ferguson Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 7 below
380 Madison Avenue
12th Floor
New York, NY 10017
- - -------------------------------------------------------------------------------------------------------------------------
I. Robert Greene Chase Venture Capital I See Explanatory No
c/o Flatiron Partners Associates, LLC Note 8 below
257 Park Avenue South 12th
Floor
New York, NY 10010
- - -------------------------------------------------------------------------------------------------------------------------
Brian J. Richmand Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 9 below
380 Madison Avenue
12th Floor
New York, NY 10017
- - -------------------------------------------------------------------------------------------------------------------------
Jonas Steinmann Chase Venture Capital I See Explanatory No
c/o Chase Capital Partners Associates, LLC Note 10 below
380 Madison Avenue 12th
Floor
New York, NY 10017
- - -------------------------------------------------------------------------------------------------------------------------
</TABLE>
Explanatory Note:
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 the sole managing member of (a)
CCP-SBIC Manager, LLC ("CCP-SBIC"), the sole managing member of CVCA, LLC and
(b) CCP-CMC Consolidating, LLC ("Consolidating"), the non-managing member of
CVCA, LLC. CCP is also the manager, by delegation, of CVCA, LLC, pursuant to an
advisory agreement with CCP-SBIC and Consolidating. 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 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 the sole stockholder of Chase
Capital Corporation, a general partner of CCP, the sole managing member of the
two members of CVCA, LLC and the manager, by delegation, 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.
4) 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
(a) CCP-SBIC, the sole managing member CVCA and (b) Consolidating, the
non-managing member of CVCA, LLC. CCP is also the manager, by delegation, of
CVCA, LLC pursuant to an advisory agreement with CCP-SBIC and Consolidating. 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.
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 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.
Page 6 of 7
<PAGE>
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 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 CCP and CVCA, LLC.
7) The amount shown in Table I represents 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 the two members of CVCA, LLC, and the manager, by
delegation, of CVCA, LLC, until June 1, 1997. 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.
8) The amount shown in Table I represents 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 the two members of CVCA, LLC 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 amount shown in Table I represents 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 the two members of CVCA, LLC 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 amount shown in Table I represents 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 the two members of CVCA, LLC, 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.
Page 7 of 7
