CUSIP NO. 89235K105 Schedule 13D Page 1 of 13
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
(RULE 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO
RULES 13d-1(a) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(a)
(AMENDMENT NO. __________)(1)
TorreyPines Therapeutics, Inc.
(Name of issuer)
Common Stock, par value $0.001
(Title of class of securities)
89235K105
(CUSIP number)
Jarlyth H. Gibson, Assistant Compliance Officer 617-951-9493
C/o Advent International Corporation, 75 State Street, 29th Floor
Boston, MA 02109
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
October 3, 2006
(Date of event which requires filing of this statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box:. [ ]
Note. Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
(Continued on following pages)
(Page 1 of 13 Pages)
----------
(1) The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which
would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
CUSIP NO. 89235K105 Schedule 13D Page 2 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent International Corporation
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,560,559
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 1,560,559
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,560,559
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.81%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
CO, IA
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 3 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent International Limited Partnership
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,525,987
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 1,525,987
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,525,987
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
9.59%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 4 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent Healthcare and Life Sciences II Limited Partnership
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,415,653
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 1,415,653
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,415,653
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
8.91%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 5 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent Healthcare and Life Sciences II Beteiligung GmbH & Co. KG
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Germany
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
110,334
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 110,334
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
110,334
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.70%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 6 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent Partners HLS II Limited Partnership
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
31,402
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 31,402
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
31,402
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.20%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 7 of 13
--------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Advent Partners Limited Partnership
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) [X]
(B) [ ]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 Source of Funds
WC
--------------------------------------------------------------------------------
5 Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d)
or 2 (e)
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
3,170
NUMBER OF -----------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
EACH -----------------------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON
WITH 3,170
-----------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
None
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,170
--------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.02%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
PN
--------------------------------------------------------------------------------
CUSIP NO. 89235K105 Schedule 13D Page 8 of 13
Item 1. Security and Issuer
This statement on Schedule 13D relates to the Reporting Persons' (as
defined in Item 2 below) beneficial ownership interest in the Common Stock, par
value $0.001 per share (the "Common Stock"), of TorreyPines Therapeutics, Inc.,
a Delaware corporation (the "Corporation"). The address of the principal
executive office of the Corporation is 11085 North Torrey Pines Road, Suite 300,
La Jolla, CA 92037.
Item 2. Identity and Background
(a) (b) (c) (f) This statement is being filed by the following entities:
(1) Advent International Corporation, a Delaware corporation;
(2) Advent International Limited Partnership, a Delaware limited
partnership;
(3) Advent Healthcare and Life Sciences II, a Delaware limited partnership;
(4) Advent Healthcare and Life Sciences II Beteiligung GmbH & Co. KG, a
Germany limited partnership;
(5) Advent Partners HLS II Limited Partnership, a Delaware limited
partnership;
(6) Advent Partners Limited Partnership, a Delaware limited partnership;
The entities listed in subparagraphs (1) through (6) above are herein
collectively referred to as the "Reporting Persons" and individually as a
"Reporting Person."
Advent International Corporation ("AIC") is a Delaware corporation, and the
persons serving as its directors and executive officers are set forth on
Schedule A hereto.
Advent International Corporation is the General Partner of Advent Partners
HLS II Limited Partnership, Advent Partners Limited Partnership and Advent
International Limited Partnership ("AILP"). Advent International Limited
Partnership is the General Partner of Advent Healthcare and Life Sciences II
Limited Partnership as well as the Managing Limited Partner of Advent Healthcare
and Life Sciences II Beteiligung GmbH & Co. The principal business address of
each Reporting Person is c/o Advent International Corporation, 75 State Street,
Boston, MA 02109.
The principal business of Advent International Corporation is to operate as
an investment advisory firm and to make private equity investments. The
principal business of each Reporting Person other than Advent International
Corporation and Advent International Limited Partnership is to provide risk
capital for, and make investments in the securities of, privately held and other
businesses.
(d) (e) During the last five years, none of the Reporting Persons nor any
person listed on Schedule A has been convicted in a criminal
CUSIP NO. 89235K105 Schedule 13D Page 9 of 13
proceeding (excluding traffic violations or similar misdemeanors). During the
last five years, none of the Reporting Persons nor any person listed on Schedule
A has been a party to a civil proceeding of a judicial or administrative body of
competent jurisdiction as a result of which any such person was or is subject to
a judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, Federal or State securities laws or finding
any violations with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration.
On October 3, 2006, pursuant to the Agreement and Plan of Merger and
Reorganization entered into by and among the Issuer, its wholly-owned subsidiary
and TorreyPines Therapeutics, Inc. (the "Merger Agreement"), the Reporting
Persons acquired 1,320,317 shares of the Corporation's Common Stock (the "Common
Stock") and 240,242 Warrants to purchase Common Stock at $8.32 (the "Warrants").
The source of the funds used to purchase the Securities was derived from
the working capital of the Reporting Persons (other than AIC and AILP).
Item 4. Purpose of Transaction.
The Reporting Persons acquired the securities of the Corporation strictly
for investment purposes. The Reporting Persons intend to periodically review
their investment in the Corporation. Depending upon future evaluations of the
business prospects of the Corporation and upon other developments, including,
but not limited to, general economic and business conditions and market
conditions, the Reporting Persons may determine to increase or decrease their
equity interest in the Corporation by acquiring additional Securities, or by
disposing of all or a portion of the Securities now held.
Except as set forth in this statement, none of the Reporting Persons nor,
to the best of their knowledge, any person listed on Schedule A hereto, has any
plans or proposals that relate to or would result in: (a) the acquisition by any
person of additional securities of the Corporation, or the disposition of
securities of the Corporation; (b) an extraordinary corporate transaction, such
as a merger, reorganization or liquidation, involving the Corporation or any of
its subsidiaries; (c) a sale or transfer of a material amount of assets of the
Corporation or any of its subsidiaries; (d) any change in the present board of
directors or management of the Corporation, including any plans or proposals to
change the number or term of directors or to fill any existing vacancies on the
board; (e) any material change in the present capitalization or dividend policy
of the Corporation; (f) any other material change in the Corporation's business
or corporate structure; (g) changes in the Corporation's charter, by-laws or
instruments corresponding thereto or other actions which may impede the
acquisition of control of the Corporation by any person; (h) causing a class of
securities of the Corporation to be delisted from a national securities exchange
or to cease to be authorized to be quoted in an inter-dealer quotation system of
a registered national securities association; (i) a class of equity securities
of the Corporation becoming eligible for termination of registration pursuant to
Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any
action similar to any of those enumerated above.
CUSIP NO. 89235K105 Schedule 13D Page 10 of 13
Item 5. Interest in Securities of the Issuer.
(a) The following table sets forth the aggregate number and percentage of
the Common Stock beneficially owned by each Reporting Person named in Item 2 of
this statement (based upon 15,670,832 shares of Common Stock outstanding as
October 4, 2006). The aggregate number and percentage of the Common Stock
beneficially owned by each Reporting Person is calculated in accordance with
Rule 13d-3.
Number of Shares Percentage
-------------------------------- of Common
Common Stock
Reporting Person Stock Warrants Total Outstanding
---------------- --------- -------- --------- -----------
Advent International Corporation (1)(2)(3) 1,320,317 240,242 1,560,559 9.81%
Advent International Limited Partnership (1) 1,291,073 234,914 1,525,987 9.59%
Advent Healthcare and Life Sciences II Limited
Partnership(2) 1,197,723 217,930 1,415,653 8.91%
Advent Healthcare and Life Sciences II
Beteiligung GmbH & Co. KG (2) 93,350 16,984 110,334 0.70%
Advent Partners HLS II Limited Partnership (3) 26,567 4,835 31,402 0.20%
Advent Partners Limited Partnership(3) 2,677 493 3,170 0.02%
--------- ------- --------- ----
Total Group 1,320,317 240,242 1,560,559 9.81%
(1) Advent International Corporation ("AIC") is the General Partner of Advent
International Limited Partnership ("AILP") which in turn is the General
Partner and the Managing Limited Partner of the indicated Reporting
Persons. As such, AIC has the sole power to vote and dispose of the
securities owned by the indicated Reporting Persons. The beneficial
ownership of AIC and AILP derive from such power.
(2) Advent International Corporation ("AIC") is the General Partner of Advent
International Limited Partnership ("AILP") which in turn is the General
Partner of Advent Healthcare and Life Sciences II Limited Partnership as
well as the Managing Limited Partner of Advent Healthcare and Life Sciences
II Beteiligung GmbH & Co. KG. As such, AIC has the sole power to vote and
dispose of the securities owned by the indicated Reporting Persons. The
beneficial ownership of AIC and AILP derive from such power.
(3) AIC is the General Partner of the indicated Reporting Person. As such, AIC
has the power to vote and dispose of the securities of Advent Partners HLS
II Limited Partnership and Advent Partners Limited Partnership.
(c) Other than the acquisition of the Securities, none of the Reporting
Persons and the persons set forth on Schedule A and in Item 2(d) hereto has
effected any transactions in the Common Stock during the last 60 days.
(d) Except as set forth in this Item 5, no person other than each
respective record owner referred to herein of the Securities is known to
CUSIP NO. 89235K105 Schedule 13D Page 11 of 13
have the right to receive or the power to direct the receipt of dividends from,
or the proceeds from the sale of, the Securities.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
The following summaries of certain provisions of the Stockholders Rights
Agreement Amendment, the Stockholder Rights Agreement and the Lock-Up agreement
which are qualified in their entirety by reference to such documents (copies of
which are attached hereto as Exhibits 1, 2, 3 and 4 respectively).
On May 13, 2005, the Board of Directors of Axonyx Inc. (the "Board")
approved a stockholder rights plan as set forth in the Rights Agreement, dated
as of May 13, 2005, between Axonyx Inc. and The Nevada Agency and Trust Company,
as Rights Agent (the "Rights Agreement"). Under the Rights Agreement, each
common stockholder of record as of the close of business on May 27, 2005, will
receive a dividend of one right for each share of common stock held. Each right
entitles the holder to purchase from the company one one-thousandth of a share
of a new series of participating preferred stock at an initial purchase price of
$15.00. A press release relating to these matters was issued by the company on
May 16, 2005. An amendment in connection with the merger was filed to change the
name from Axonyx to TorreyPines and the governing law from Nevada to Delaware.
Directors, and entities affiliated with Directors, of TorreyPines entered
into lock-up agreements, pursuant to which such parties will agree not to sell
or transfer, or engage in hedging or similar transactions with respect to, the
shares of Axonyx common stock and merger warrants that they receive pursuant to
the terms of the merger agreement from the closing date of the merger until 180
days after the closing of the merger, except in limited circumstances
Item 7. Materials to be Filed as Exhibits.
This Amendment hereby amends and supplements the Exhibits listed in Item 7
of the Schedule 13D by adding the following thereto:
Exhibit No. Description
1 Stockholder Rights Agreement dated September 2006
2 (1) Form 8-K Stockholders Rights Agreement dated May 13, 2005
3 Form of Axonyx, Inc. Lock-up Agreement signed by Jason S.
Fisherman and entities affiliated with Advent International
Corporation.
4 (2) Agreement of Merger, dated as of August 25, 2006 by and among
Axonyx, Inc.
(1) Filed as Exhibit 2 to Axonyx, Inc.'s Form 8-K Stockholders Rights
Agreement (000-25571), filed with the Commission on May 13, 2005, and
incorporated by reference herein.
(2) Filed as Exhibit 4 to Axonyx, Inc.'s Registration Statement on Form
S-4, as amended (333-136018), filed with the Commission on August 25, 2006, and
incorporated by reference herein.
CUSIP NO. 89235K105 Schedule 13D Page 12 of 13
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
OCTOBER 13, 2006
Advent Healthcare and Life Sciences II Limited Partnership
By: Advent International Limited Partnership,
General Partner
By: Advent International Corporation,
General Partner
By: Jarlyth H. Gibson, Assistant Compliance Officer*
Advent Healthcare and Life Sciences II Beteiligung GmbH & Co. KG
By: Advent International Limited Partnership,
Managing Limited Partner
By: Advent International Corporation,
General Partner
By: Jarlyth H. Gibson, Assistant Compliance Officer*
Advent International Limited Partnership
Advent Partners HLS II Limited Partnership
Advent Partners Limited Partnership
By: Advent International Corporation,
General Partner
By: Jarlyth H. Gibson, Assistant Compliance Officer*
Advent International Corporation
By: Jarlyth H. Gibson, Assistant Compliance Officer*
* For all of the above:
/s/ Jarlyth H. Gibson
-----------------------------------------------
Jarlyth H. Gibson, Assistant Compliance Officer
CUSIP NO. 89235K105 Schedule 13D Page 13 of 13
SCHEDULE A
The name and present principal occupation of each executive officer
and director of Advent International Corporation is set forth below. The
business address of each executive officer and director of Advent International
Corporation is c/o Advent International Corporation, 75 State Street, Boston,
Massachusetts 02109. All of the persons listed below are United States citizens.
I. Advent International Corporation
Position with Principal
Advent International Occupation
Name Corporation (if different)
---- -------------------------------- ------------------
Peter A. Brooke Chairman
Thomas H. Lauer Senior Vice President
Managing Director
Chief Financial Officer
Assistant Secretary
Executive Officers'
Committee Member
Ernest G. Bachrach Executive Officers'
Committee Member
David M. Mussafer Director
Executive Officers'
Committee Member
William C. Schmidt Executive Officers'
Committee Member
John B. Singer Executive Officers'
Committee Member
Steven M. Tadler Director
Executive Officers'
Committee Member
Janet L. Hennessy Senior Vice President of Finance
Partner
Chief Compliance Officer
Assistant Secretary
John F. Brooke Director General Partner of
Brooke
Private Equity
Mark Hoffman Director Chairman of
Cambridge
Research Group
David W. Watson Secretary Attorney