U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 3
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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
________________________________________________________________________________
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
--------------------------------------------------------------------------------
(Street)
New York New York 10020
--------------------------------------------------------------------------------
(City) (State) (Zip)
________________________________________________________________________________
2. Date of Event Requiring Statement (Month/Day/Year)
August 2, 2000
________________________________________________________________________________
3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
________________________________________________________________________________
4. Issuer Name and Ticker or Trading Symbol
Resonate, Inc. ("RSNT")
________________________________________________________________________________
5. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [X] 10% Owner
[_] Officer (give title below) [_] Other (specify below)
________________________________________________________________________________
6. If Amendment, Date of Original (Month/Day/Year)
________________________________________________________________________________
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 Beneficially Owned
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<TABLE>
<CAPTION>
3. Ownership Form:
2. Amount of Securities Direct (D) or
1. Title of Security Beneficially Owned Indirect (I) 4. Nature of Indirect Beneficial Ownership
(Instr. 4) (Instr. 4) (Instr. 5) (Instr. 4)
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<S> <C> <C> <C>
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* If the Form is filed by more than one Reporting Person, see Instruction
5(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Over)
(Form 3-07/99)
FORM 3 (continued)
Table II -- Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
================================================================================
<TABLE>
<CAPTION>
5. Owner-
3. Title and Amount of Securities ship
Underlying Derivative Security Form of
2. Date Exercisable (Instr. 4) Derivative
and Expiration Date --------------------------------- 4. Conver- Security:
(Month/Day/Year) Amount sion or Direct 6. Nature of
---------------------- or Exercise (D) or Indirect
Date Expira- Number Price of Indirect Beneficial
1. Title of Derivative Exer- tion of Derivative (I) Ownership
Security (Instr. 4) cisable Date Title Shares Security (Instr. 5) (Instr. 5)
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<S> <C> <C> <C> <C> <C> <C> <C>
Series B Preferred
Stock (FN 1) Immed N/A Common Stock 1,777,778 1 for 1 D
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Series C Preferred
Stock (FN 1) Immed N/A Common Stock 525,618 1 for 1 D
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Series D Preferred
Stock (FN 1) Immed N/A Common Stock 697,121 1 for 1 D
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</TABLE>
Explanation of Responses:
(1) Prior to the closing of the initial public offering of the Issuer, each
share of Series B, Series C and Series D Preferred Stock will be converted
into Common Stock on a 1 for 1 basis.
Chase Venture Capital Associates, LLC
By: Chase Capital Partners, as Investment Manager
/s/ Jeffrey C. Walker 8/2/2000
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 2
<PAGE>
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<CAPTION>
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NAME AND ADDRESS OF DESIGNATED DATE OF ISSUER NAME, TICKER
REPORTING PERSON REPORTER (Note 1) EVENT REQUIRING OR TRADING SYMBOL
STATEMENT
-------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Ana Carolina Aidar Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
Rua Verbo Divino,
1400
Sao Paulo, Brazil,
SP 04719-002
-------------------------------------------------------------------------------------------------------
John R. Baron Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Christopher C. Behrens Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Mitchell J. Blutt Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
David S. Britts Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
50 California Street
San Francisco, CA
94111
-------------------------------------------------------------------------------------------------------
Arnold L. Chavkin Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
David J. Gilbert Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Eric A. Green Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Michael R. Hannon Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
<CAPTION>
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TITLE OF
DERIVATIVE
SECURITIES AND
NAME AND ADDRESS OF TITLE AND TITLE AND OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON AMOUNT OF AMOUNT OF DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
SECURITY SECURITIES INDIRECT (I) INTEREST
UNDERLYING
DERIVATIVE
SECURITIES
--------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Ana Carolina Aidar N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
Rua Verbo Divino,
1400
Sao Paulo, Brazil,
SP 04719-002
--------------------------------------------------------------------------------------------------------
John R. Baron N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Christopher C. N/A See Table II I See Explanatory No
Behrens above Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Mitchell J. Blutt N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
David S. Britts N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
50 California Street
San Francisco, CA
94111
--------------------------------------------------------------------------------------------------------
Arnold L. Chavkin N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
David J. Gilbert N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Eric A. Green N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Michael R. Hannon N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
</TABLE>
-1-
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED DATE OF ISSUER NAME, TICKER
REPORTING PERSON REPORTER (Note 1) EVENT REQUIRING OR TRADING SYMBOL
STATEMENT
-------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Donald J. Hofmann Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Jonathan Meggs Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
-------------------------------------------------------------------------------------------------------
Stephen P. Murray Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
John M.B. O'Connor Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Robert Rugggiero
c/o Chase Capital Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Partners Capital Associates, LLC
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Susan L. Segal Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Shahan D. Soghikian Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
50 California
Street, Suite 2940
San Francisco, CA
94111
-------------------------------------------------------------------------------------------------------
Lindsay Stuart Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
-------------------------------------------------------------------------------------------------------
Patrick Sullivan Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Jeffrey C. Walker Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------------
<CAPTION>
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TITLE OF
DERIVATIVE
SECURITIES AND
TITLE AND
NAME AND ADDRESS OF TITLE AND AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON AMOUNT OF SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
SECURITY UNDERLYING INDIRECT (I) INTEREST
DERIVATIVE
SECURITIES
-------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Donald J. Hofmann N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Jonathan Meggs N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
--------------------------------------------------------------------------------------------------------
Stephen P. Murray N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
John M.B. O'Connor N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Robert Rugggiero N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Susan L. Segal N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Shahan D. Soghikian N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
50 California
Street, Suite 2940
San Francisco, CA
94111
--------------------------------------------------------------------------------------------------------
Lindsay Stuart N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
125 London Wall
London EC2Y 5AJ,
United Kingdom
--------------------------------------------------------------------------------------------------------
Patrick Sullivan N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Jeffrey C. Walker N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
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</TABLE>
-2-
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<CAPTION>
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NAME AND ADDRESS OF DESIGNATED DATE OF ISSUER NAME, TICKER
REPORTING PERSON REPORTER (Note 1) EVENT REQUIRING OR TRADING SYMBOL
STATEMENT
-------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Timothy J. Walsh Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Richard D. Waters Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
-----------------------------------------------------------------------------------------------------
Damion E. Wicker Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP European Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Principals, LLC Capital Associates, LLC
c/o Chase Capital
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP Principals, LLC
c/o Chase Capital Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Partners Capital Associates, LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Chase Capital Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Corporation Capital Associates, LLC
c/o Chase Capital
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
The Chase Manhattan Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Corporation Capital Associates, LLC
270 Park Avenue
35th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Chase Capital Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Partners Capital Associates, LLC
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Chatham Ventures, Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
Inc. c/o Chase Capital Associates, LLC
Capital Partners
1221 Avenue of the Americas
New York, NY 10020
--------------------------------------------------------------------------------------------------------
<CAPTION>
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TITLE OF
DERIVATIVE
SECURITIES AND
TITLE AND
NAME AND ADDRESS OF TITLE AND AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON AMOUNT OF SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
SECURITY UNDERLYING INDIRECT (I) INTEREST
DERIVATIVE
SECURITIES
--------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
Timothy J. Walsh N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Richard D. Waters N/A See Table II I See Explanatory Yes
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Damion E. Wicker N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP European N/A See Table II I See Explanatory No
Principals, LLC above Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP Principals, LLC N/A See Table II I See Explanatory No
c/o Chase Capital above Note 2 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Chase Capital N/A See Table II I See Explanatory No
Corporation above Note 2 below
c/o Chase Capital
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
The Chase Manhattan N/A See Table II I See Explanatory No
Corporation above Note 3 below
270 Park Avenue
35th Floor
New York, NY 10017
--------------------------------------------------------------------------------------------------------
Chase Capital N/A See Table II I See Explanatory No
Partners above Note 4 below
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
CCP-SBIC Manager, LLC N/A See Table II I See Explanatory No
c/o Chase Capital above Note 5 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Chatham Ventures, N/A See Table II I See Explanatory No
Inc. c/o Chase above Note 6 below
Capital Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
</TABLE>
-3-
<PAGE>
<TABLE>
<CAPTION>
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NAME AND ADDRESS OF DESIGNATED DATE OF ISSUER NAME, TICKER
REPORTING PERSON REPORTER(Note 1) EVENT REQUIRING OR TRADING SYMBOL
STATEMENT
-------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
David L. Ferguson Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
------------------------------------------------------------------------------------------------------
I. Robert Greene Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Flatiron Capital Associates, LLC
Partners
257 Park Avenue
South 40th Floor
New York, NY 10010
--------------------------------------------------------------------------------------------------------
Brian J. Richmand Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
Jonas Steinmann Chase Venture August 2, 2000 Resonate, Inc. ("RSNT")
c/o Chase Capital Capital Associates, LLC
Partners
1221 Avenue of the Americas
40th Floor
New York, NY 10020
--------------------------------------------------------------------------------------------------------
<CAPTION>
--------------------------------------------------------------------------------------------------------
TITLE OF
DERIVATIVE
SECURITIES AND
TITLE AND
NAME AND ADDRESS OF TITLE AND AMOUNT OF OWNERSHIP FORM: NATURE OF INDIRECT DISCLAIMS
REPORTING PERSON AMOUNT OF SECURITIES DIRECT (D) OR BENEFICIAL OWNERSHIP PECUNIARY
SECURITY UNDERLYING INDIRECT (I) INTEREST
DERIVATIVE
SECURITIES
-------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C>
David L. Ferguson N/A See Table II I See Explanatory No
c/o Chase Capital above Note 7 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
----------------------------------------------------------------------------------------------------------
I. Robert Greene N/A See Table II I See Explanatory No
c/o Flatiron above Note 8 below
Partners
257 Park Avenue
South 40th Floor
New York, NY 10010
-------------------------------------------------------------------------------------------------------
Brian J. Richmand N/A See Table II I See Explanatory No
c/o Chase Capital above Note 9 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
Jonas Steinmann N/A See Table II I See Explanatory No
c/o Chase Capital above Note 10 below
Partners
1221 Avenue of the
Americas
40th Floor
New York, NY 10020
-------------------------------------------------------------------------------------------------------
</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 Table 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 the internal rate of
return and vesting of interests within CCP and CVCA, LLC.
3) The amounts shown in Table 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 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.
4) The amounts shown in Table 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 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 the internal rate of return and
vesting of interests within CCP and CVCA, LLC.
5) The amounts shown in Table 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.
6) The amounts shown in Table 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.
-4-
<PAGE>
7) The amounts shown in Table 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 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 amounts shown in Table 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 Table 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 Table 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.
