exv4w5



 





Exhibit 4.5




AMENDMENT NO. 3 TO INVESTORS’ RIGHTS AGREEMENT




          THIS AMENDMENT NO. 3 TO INVESTORS’ RIGHTS AGREEMENT is entered into effective this 17th day of
December, 2007 (this “Amendment No. 3”), by and among Cardiovascular Systems, Inc., a Minnesota
Corporation (the “Company”) , the Series B Convertible Preferred Stockholders listed on Exhibit A
hereto (“Series B Investors”), and the Investors signatory hereto.




RECITALS




          WHEREAS, this Amendment No. 3 amends an Investor’s Rights Agreement, dated July 19, 2006 (the
“Investor’s Rights Agreement”) by and between the Company and the “Investors” set forth on Schedule
A thereto and “Stockholders” set forth on Schedule B thereto, as amended by Amendment No. 1 to
Investor’s Rights Agreement, dated October 3, 2006 by and between the Company, ITX International
Equity Corp. and the “Investors” signatory thereto, and Amendment No. 2 to Investor’s Rights
Agreement, dated September 19, 2007 by and between the Company, the Series A-1 Convertible
Preferred Stockholders and the “Investors” signatory thereto;




          WHEREAS, the Company has agreed to sell up to 2,162,162 shares of Series B Convertible
Preferred Stock to the Series B Investors (the “Offering”) in accordance with the terms of that
certain Private Placement Memorandum dated November 13, 2007 and those certain Subscription
Agreements by and between the Company and the Series B Investors received in connection with the
Offering (the “Subscription Agreements”);




          WHEREAS, on November 13, 2007, the Company’s Board of Directors approved the sale of up to
2,162,162 shares of Series B Convertible Preferred Stock to the Series B Investors and the
transactions contemplated by the Subscription Agreements including this Amendment No. 3; and




          WHEREAS, Investors executing this Amendment No. 3 hold at least 662/3 % of the combined voting
power of the outstanding shares of Series A Preferred Stock and any Common Stock issued upon
conversion of the Series A Preferred Stock.




          NOW THEREFORE, in consideration of the mutual covenants and agreements contained in this
Amendment No. 3, the sufficiency of which is hereby acknowledged, the parties hereto agree as set
forth below:





	 	1.	 	Defined Terms. Capitalized terms not defined herein shall have the meanings ascribed
to them in the Investor’s Rights Agreement.
	 
	 	2.	 	The definition of “Qualified Public Offering” is hereby amended as follows:






“Qualified Public Offering” shall mean a firm commitment
underwritten public offering of shares of Common Stock that has been
approved by the Preferred Stock Directors (as defined in the Amended and
Restated Articles of Incorporation) and in which the aggregate gross
proceeds from such offering to the Company shall be at least $40,000,000.



1









 






	 	3.	 	The following paragraph is hereby added to Section 2, Piggyback Registration:






(c) The provisions of this Section 2 shall not apply to the Company’s IPO.




	 	4.	 	The Series B Convertible Preferred Stock sold in the Offering shall be deemed
additional shares of Series A Convertible Preferred Stock for purposes of the Investor’s
Rights Agreement.
	 
	 	5.	 	Schedule A is hereby amended in its entirety as set forth at Exhibit B and each
of the Series B Investors shall be deemed an Investor as that term is used in the
Investor’s Rights Agreement.
	 
	 	6.	 	This Amendment No. 3 may be executed in any number of original or facsimile
counterparts, and each such counterpart hereof shall be deemed to be an original
instrument, but all such counterparts together shall constitute but one agreement. Any
counterpart or other signature to this Amendment No. 3 that is delivered by facsimile shall
be deemed for all purposes as constituting good and valid execution and delivery by such
party of this Amendment No. 3.
	 
	 	7.	 	Except as set forth herein, all other terms and conditions of the Investor’s Rights
Agreement remain the same.





[REMAINDER OF PAGE INTENTIONALLY LEFT BLANK]





2









 








          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.




	 	 	 	 	 
	 	CARDIOVASCULAR SYSTEMS, INC.

 	 
	 	By:  	/s/ James E. Flaherty
 	 
	 	 	Name:  	James E. Flaherty 	 
	 	 	Title:  	Chief Financial Officer 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.



	 	 	 	 	 
	 	 	 
	 	EASTON HUNT CAPITAL PARTNERS, L.P.
 	 
	 
	 	By:  	EHC GP, L.P. its General Partner
 	 
	 	By:  	EHC GP, Inc., its General Partner
 	 
	 
	 	By:  	
/s/ John Friedman
 	 
	 	 	Name:  	John Friedman 	 
	 	 	Title:  	President 	 



	 	 	 	 	 
	 	 	 
	 	EASTON CAPITAL PARTNERS, LP
 	 
	 
	 	By:  	 ECP GP, LLC
 	 
	 	By:  	ECP GP, Inc., its Manager
 	 
	 
	 	By:  	/s/ John Friedman
 	 
	 	 	Name:  	John Friedman 	 
	 	 	Title:  	President 	 



 











 






     IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s
Rights Agreement effective the date first written above.



	 	 	 	 	 
	 	 	 
	 	MAVERICK FUND, L.D.C.
 	 
	 
	 	By:  	
 Maverick Capital, Ltd.
Its Investment Advisor
 	 
	 	 	 
	 	By:  	/s/ John T. McCafferty
 	 
	 	 	Name:  	John T. McCafferty 	 
	 	 	Title:  	Limited Partner & General Counsel 	 
	 







	 	 	 	 	 
	 	 MAVERICK FUND USA, LTD.	 
	 
	 	By:  	 Maverick Capital, Ltd.

Its Investment Advisor
 	 
	 
	 	By:  	/s/ John T. McCafferty
 	 
	 	 	Name:  	John T. McCafferty 	 
	 	 	Title:  	Limited Partner & General Counsel 	 










	 	 	 	 	 
	 	MAVERICK FUND II, LTD.
	 
	 
	 	By:  	
 Maverick Capital, Ltd.

Its Investment Advisor
 	 
	 	 	 
	 	By:  	/s/ John T. McCafferty
 	 
	 	 	Name:  	John T. McCafferty 	 
	 	 	Title:  	Limited Partner & General Counsel 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.



	 	 	 	 	 
	 	MITSUI & CO. VENTURE PARTNERS II, L.P.

 	 
	 
	 	By:  	
Mitsui & Co. Venture Partners, Inc.

Its General Partner 	 
	 	 	 
	 	By:  	/s/ Koichi Ando
 	 
	 	 	Name:  	Koichi Ando 	 
	 	 	Title:  	President & CEO 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.




	 	 	 	 	 
	 	ITX INTERNATIONAL EQUITY CORP.

 	 
	 	By:  	/s/ Takehito Jimbo
 	 
	 	 	Name:  	Takehito Jimbo 	 
	 	 	Title:  	President & CEO 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.




	 	 	 	 	 
	 	WELLSPRING CAPITAL

 	 
	 	By:  	/s/ George Griffin
 	 
	 	 	Name:  	George Griffin 	 
	 	 	Title:  	CFO 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.




	 	 	 	 	 
	 	GDN HOLDINGS LLC

 	 
	 	By:  	/s/ Glen D. Nelson
 	 
	 	 	Name:  	Glen D. Nelson 	 
	 	 	Title:  	 	 



 









 






	 	 	 	 	 



          IN WITNESS WHEREOF, the parties hereto have executed this Amendment No. 3 to Investor’s Rights
Agreement effective the date first written above.




	 	 	 	 	 
	 	SERIES B CONVERTIBLE PREFERRED INVESTORS

 	 
	 	By:  	/s/ James E. Flaherty
 	 
	 	 	James E. Flaherty, as
Attorney-in-Fact for the Series B Convertible Preferred Investors named on Exhibit A hereto	 
	 




 











 





EXHIBIT A




SERIES B CONVERTIBLE PREFERRED INVESTORS




	 	 	 	 	 	 	 	 	 
	Name	 	Amount	 	 	Shares	 
	Shahla Amiri
	 	$	9,250.00	 	 	 	1,000	 
	Anthony Angelini
	 	$	351,500.00	 	 	 	38,000	 
	John T. Arvold
	 	$	25,000.00	 	 	 	2,702	 
	Londa Benjamini and Everett ___
	 	$	20,000.00	 	 	 	2,162	 
	Thomas M. Bies and
Edith C. Bies JTWROS
	 	$	25,002.75	 	 	 	2,703	 
	Brent G. Blackey
	 	$	46,250.00	 	 	 	5,000	 
	Claude A. Brachfeld
	 	$	25,000.00	 	 	 	2,702	 
	Larry Brandt and
Judy Brandt JTWROS
	 	$	46,250.00	 	 	 	5,000	 
	David Brink
	 	$	11,867.75	 	 	 	1,283	 
	Calmedica Capital L.P.
	 	$	900,000.00	 	 	 	97,297	 
	Stephen Carito
	 	$	25,000.00	 	 	 	2,702	 
	The Curtis L. Carlson Family Foundation
	 	$	300,005.25	 	 	 	32,433	 
	Charles Schwab & Co., Inc. Cust
FBO Steven W. Carter IRA
	 	$	20,000.00	 	 	 	2,162	 
	Scott Chase
	 	$	26,371.75	 	 	 	2,851	 
	Sandra Novak Cohen
	 	$	50,005.50	 	 	 	5,406	 
	Kenneth J. Crowell and
Veronica J. Crowell JTWROS
	 	$	75,000.00	 	 	 	8,108	 
	Steven Crowell
	 	$	100,000.00	 	 	 	10,810	 
	Marc Daniels
	 	$	5,000.00	 	 	 	540	 
	Tony S. Das
	 	$	157,250.00	 	 	 	17,000	 
	Ronit Eres
	 	$	50,000.00	 	 	 	5,405	 
	Joane Evans and Lyell Evans JTWROS
	 	$	25,002.75	 	 	 	2,703	 
	Ryan E. Evans
	 	$	25,002.75	 	 	 	2,703	 
	Donald E. Fischer III
	 	$	25,000.00	 	 	 	2,702	 
	Joseph D. Flynn, Jr. and
Lori G. Flynn JTWROS
	 	$	50,005.50	 	 	 	5,406	 
	Linda M. Foster
	 	$	32,375.00	 	 	 	3,500	 
	GDN Holdings, LLC
	 	$	499,999.50	 	 	 	54,054	 
	GFTH Investment Club
	 	$	44,955.00	 	 	 	4,860	 






A-1









 






	 	 	 	 	 	 	 	 	 
	Name	 	Amount	 	 	Shares	 
	The Gramercy Fund
	 	$	75,000.00	 	 	 	8,108	 
	Ron B. Guillot, Jr.
	 	$	25,002.75	 	 	 	2,703	 
	Scott Hannum
	 	$	100,000.00	 	 	 	10,810	 
	Kimberly B. Haynie
	 	$	30,007.00	 	 	 	3,244	 
	James C. Hays
	 	$	25,000.00	 	 	 	2,702	 
	Steven J. Healy
	 	$	27,269.00	 	 	 	2,948	 
	AG Edwards Custodian Richard R. Heuser
Rollover IRA
	 	$	75,000.00	 	 	 	8,108	 
	Andrew J. Iseman and
Shelly D. Iseman JTWROS
	 	$	50,005.50	 	 	 	5,406	 
	ITX International Equity Corp.
	 	$	3,000,006.25	 	 	 	324,325	 
	Darla R. Johnson and
John A. Beyer JTWROS
	 	$	5,272.50	 	 	 	570	 
	William Michael Keith
	 	$	35,002.00	 	 	 	3,784	 
	Bertram W. Klein
c/o Bessemer Trust
	 	$	61,188.75	 	 	 	6,615	 
	Paul A. Koehn
	 	$	35,002.00	 	 	 	3,784	 
	David Kraus, M.D.
	 	$	9,250.00	 	 	 	1,000	 
	Robert Lindmeier and
Sheryl Lindmeier JTWROS
	 	$	50,000.00	 	 	 	5,405	 
	Wells Fargo Bank, N.A. as Trustee of the
Donald M. Longlet Rev Trust dtd 9/12/89
	 	$	199,800.00	 	 	 	21,600	 
	Carleen Lunceford and
Marvin Lunceford JTWROS
	 	$	25,002.75	 	 	 	2,703	 
	Maverick Fund, L.D.C.
	 	$	439,791.25	 	 	 	47,545	 
	Maverick Fund USA, Ltd.
	 	$	177,553.75	 	 	 	19,195	 
	Maverick Fund II, Ltd.
	 	$	382,654.00	 	 	 	41,368	 
	Guy S. Mayeda and Amy A. Mayeda,
Ttees, Guy and Amy Mayeda Living Trust
	 	$	50,000.00	 	 	 	5,405	 
	Heather J. McHugh
	 	$	50,005.50	 	 	 	5,406	 
	Michael G. Micheli and
Lisa Micheli JTWROS
	 	$	50,000.00	 	 	 	5,405	 
	Steven Nelson
	 	$	25,000.00	 	 	 	2,702	 
	Ashish Pal
	 	$	124,875.00	 	 	 	13,500	 
	James B. Park
	 	$	55,500.00	 	 	 	6,000	 
	Daryl L. Peterman
	 	$	46,250.00	 	 	 	5,000	 
	Loyal M. Peterman, Jr.
	 	$	185,000.00	 	 	 	20,000	 
	Jeffrey Peterson
	 	$	64,750.00	 	 	 	7,000	 
	John Phillips
	 	$	99,992.50	 	 	 	10,810	 






A-2









 






	 	 	 	 	 	 	 	 	 
	Name	 	Amount	 	 	Shares	 
	Pinnacle Investment Group LLC
	 	$	55,500.00	 	 	 	6,000	 
	Steven A. Points and
Wanda J. Points JTWROS
	 	$	50,000.00	 	 	 	5,405	 
	Sridhar Prativadi
	 	$	13,875.00	 	 	 	1,500	 
	Thomas L. Press
	 	$	500,000.00	 	 	 	54,054	 
	Dave B. Radovich
	 	$	75,276.50	 	 	 	8,138	 
	Michael Reilly and
Lisa Reilly JTWROS
	 	$	50,875.00	 	 	 	5,500	 
	Derrick Carlton Rice
	 	$	20,000.00	 	 	 	2,162	 
	RKV Limited Partnership
	 	$	50,000.00	 	 	 	5,405	 
	Ameriprise Trust Co FBO Dr. Caleb Rivera IRA
	 	 	21,293.50	 	 	 	2,302	 
	E. Todd Robbins
	 	$	9,250.00	 	 	 	1,000	 
	Sajaitha Salvaji
	 	$	50,005.50	 	 	 	5,406	 
	David Saphiere
	 	$	24,975.00	 	 	 	2,700	 
	Saratoga Ventures IV LP
	 	$	499,999.50	 	 	 	54,054	 
	Saratoga Ventures V LP
	 	$	499,999.50	 	 	 	54,054	 
	Saratoga Ventures VI LP
	 	$	249,999.75	 	 	 	27,027	 
	Rakesh R. Shah and
Hetal R. Shah JTWROS
	 	$	25,002.75	 	 	 	2,703	 
	Murray L. Shames
	 	$	25,000.00	 	 	 	2,702	 
	Shanti Global Limited Partnership
	 	$	50,000.00	 	 	 	5,405	 
	Robert and Celia Shepard, Trustees of the
Shepard Family Trust dated 2/1/1999
	 	$	37,000.00	 	 	 	4,000	 
	Chiemsee Money Purchase Plan dtd
3/11/97 FBO Robert Shepard
	 	$	18,500.00	 	 	 	2,000	 
	Greg Smart
	 	$	45,000.00	 	 	 	4,864	 
	Kathleen Stauter
	 	$	5,087.50	 	 	 	550	 
	Stell Investments LLC
	 	$	50,875.00	 	 	 	5,500	 
	Michael P. Swenson
	 	$	49,950.00	 	 	 	5,400	 
	Thadd C. Taylor
	 	$	25,002.75	 	 	 	2,703	 
	Top Medical Holding B.V.
	 	$	74,000.00	 	 	 	8,000	 
	Greg and Michelle Vella, Trustees,
Vella Family Trust
	 	$	50,000.00	 	 	 	5,405	 
	Erik Vollbrecht
	 	$	32,745.00	 	 	 	3,540	 
	Pattie A. White
	 	$	24,975.00	 	 	 	2,700	 
	Whitebox Hedged High Yield Partners, LP
	 	$	8,690,532.25	 	 	 	939,517	 






A-3









 






	 	 	 	 	 	 	 	 	 
	Name	 	Amount	 	 	Shares	 
	Delano Franklin Young and
Melissa Kay Young JTWROS
	 	$	25,002.75	 	 	 	2,704	 
	Mark Zuzga D.O. and
Melynda Zuzga D.O. JTWROS
	 	$	50,000.00	 	 	 	5,405	 
	 
	 	 	 	 	 	 
	TOTAL
	 	$	19,999,996.25	 	 	 	2,162,150	 
	 
	 	 	 	 	 	 






A-4









 






EXHIBIT B




AMENDED AND RESTATED

SCHEDULE A TO INVESTORS’ RIGHTS AGREEMENT




Investors




	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Easton Hunt Capital Partners,
L.P.
	 	 	612,960	 	 	 	87,040	 	 	 	—	 	 	 	—	 	 	$	3,500,000.00	 
	Easton Hunt Partners, LP
	 	 	612,960	 	 	 	87,040	 	 	 	—	 	 	 	—	 	 	$	3,500,000.00	 
	Maverick Fund, L.D.C.
	 	 	770,212	 	 	 	109,370	 	 	 	103,524	 	 	 	47,545	 	 	$	1,319,745.25	 
	Maverick Fund USA, Ltd.
	 	 	310,952	 	 	 	44,155	 	 	 	41,795	 	 	 	19,195	 	 	$	532,811.25	 
	Maverick Fund II, Ltd.
	 	 	670,149	 	 	 	95,161	 	 	 	90,075	 	 	 	41,368	 	 	$	1,148,291.50	 
	Mitsui & Co. Venture Partners
II, L.P.
	 	 	675,148	 	 	 	95,871	 	 	 	117,647	 	 	 	—	 	 	$	999,999.50	 
	ITX International Equity Corp.
	 	 	350,263	 	 	 	49,737	 	 	 	47,079	 	 	 	324,325	 	 	$	400,177.75	 
	Abrasive Technology, Inc.
Profit Shar Pl
	 	 	—	 	 	 	—	 	 	 	32,000	 	 	 	—	 	 	$	272,000.00	 
	Michael Adrian
	 	 	8,943	 	 	 	1,270	 	 	 	3,552	 	 	 	—	 	 	$	30,200.00	 
	Mark R. Alvig
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	Shahla Amiri
	 	 	—	 	 	 	—	 	 	 	5,000	 	 	 	1,000	 	 	$	51,750.00	 
	Anthony Angelini
	 	 	—	 	 	 	—	 	 	 	12,000	 	 	 	38,000	 	 	$	453,500.00	 
	Michael J. Antonello
	 	 	35,937	 	 	 	5,103	 	 	 	18,255	 	 	 	—	 	 	$	155,167.50	 
	Massoud Arbabzadeh, MD
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	49,997.00	 
	Naoum Baladi
	 	 	—	 	 	 	—	 	 	 	28,000	 	 	 	—	 	 	$	238,000.00	 
	Michael S. Barish
	 	 	44,474	 	 	 	6,315	 	 	 	11,928	 	 	 	—	 	 	$	101,388.00	 
	Frederick L. Betz and
Cynthia A. Betz, JTWROS
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	RBC Dain Rauscher Cust
FBO Frederick L. Betz IRA
	 	 	—	 	 	 	—	 	 	 	9,500	 	 	 	—	 	 	$	80,750.00	 
	Charles Schwab & Co. Cust
FBO John A. Beyer IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Thomas M. Bies and
Edith C. Bies, JTWROS
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	2,703	 	 	$	75,002.75	 
	Gerry Black
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Brent G. Blackey
	 	 	—	 	 	 	—	 	 	 	5,900	 	 	 	5,000	 	 	$	96,400.00	 
	Pensco Trust Company Cust
FBO Michael J. Bogart IRA
	 	 	—	 	 	 	—	 	 	 	4,900	 	 	 	—	 	 	$	41,650.00	 
	William Bold
	 	 	—	 	 	 	—	 	 	 	3,600	 	 	 	—	 	 	$	30,600.00	 
	John R. Borrell
	 	 	—	 	 	 	—	 	 	 	11,764	 	 	 	—	 	 	$	99,994.00	 
	Robert Brady
	 	 	—	 	 	 	—	 	 	 	9,000	 	 	 	—	 	 	$	76,500.00	 
	Larry Brandt and Judy Brandt
JTWROS
	 	 	8,943	 	 	 	1,270	 	 	 	4,120	 	 	 	5,000	 	 	$	81,270.00	 
	David Brink
	 	 	10,260	 	 	 	1,457	 	 	 	17,000	 	 	 	1,283	 	 	$	156,367.75	 
	Gerald F. Bubnick
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	Brian P. Burns, Jr.
	 	 	—	 	 	 	—	 	 	 	7,500	 	 	 	—	 	 	$	63,750.00	 
	Marlyn and Margaret Buss,
Trustees,
Marlyn and Margaret Buss Rev.
Living Trust dated 4/12/04
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Wedbush Morgan Securities Cust
FBO Richard E. Bye IRA
	 	 	—	 	 	 	—	 	 	 	7,050	 	 	 	—	 	 	$	59,925.00	 






B-1









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Timothy Byrne and Sandra
Byrne, Trustees, Byrne Family
Trust
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Christopher Campbell
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	H. Daniel Caparo
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Charles Schwab & Co., Inc. Cust
FBO Franklin G. Capitanini IRA
	 	 	—	 	 	 	—	 	 	 	5,800	 	 	 	—	 	 	$	49,300.00	 
	Joseph Anthony Cardenas
	 	 	—	 	 	 	—	 	 	 	29,400	 	 	 	—	 	 	$	249,900.00	 
	Curtis L. Carlson Family
Foundation
	 	 	43,783	 	 	 	6,217	 	 	 	29,414	 	 	 	32,433	 	 	$	550,024.25	 
	Charles Schwab & Co., Inc. Cust
FBO Steven W. Carter IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	2,162	 	 	$	70,000.00	 
	CAVA Partners, LLC
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	John F. Cavanaugh
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Vijay T. Char
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Scott Chase
	 	 	—	 	 	 	—	 	 	 	17,647	 	 	 	2,851	 	 	$	176,371.75	 
	Richard J. Cherry and
JoAnn Cherry, JTWROS
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	George Jean Chilazi
	 	 	—	 	 	 	—	 	 	 	6,777	 	 	 	—	 	 	$	57,604.50	 
	Charles Schwab & Co., Inc. Cust
FBO Bruce A. Church IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Pershing LLC Custodian
FBO Walter Douglas Clark IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	David E. Cohen, M.D.
	 	 	—	 	 	 	—	 	 	 	5,884	 	 	 	—	 	 	$	50,014.00	 
	Sean Collins
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,002.50	 
	Wachovia Securities Cust
FBO Sean Collins IRA
	 	 	—	 	 	 	—	 	 	 	12,941	 	 	 	—	 	 	$	110,000.00	 
	Tom Correia
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Ralph D. Crawford
	 	 	—	 	 	 	—	 	 	 	11,750	 	 	 	—	 	 	$	99,875.00	 
	Carla C. Dahl
	 	 	—	 	 	 	—	 	 	 	590	 	 	 	—	 	 	$	5,015.00	 
	Thomas P. Davis, MD
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Keith Donnan
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Peter S. Dougan, M.D.
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Charles Schwab & Co., Inc. Cust
FBO Mark W. DuPont IRA
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	Keith M. Eastman
	 	 	—	 	 	 	—	 	 	 	4,000	 	 	 	—	 	 	$	34,000.00	 
	Joane Evans and
Lyell Evans JTWROS
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	2,703	 	 	$	50,009.75	 
	Ryan E. Evans
	 	 	—	 	 	 	—	 	 	 	5,883	 	 	 	2,703	 	 	$	75,008.25	 
	Gary Jay Fishbein, MD
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	Jeffrey Fleming
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	James Flynn
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Linda M. Foster
	 	 	17,890	 	 	 	2,540	 	 	 	2,404	 	 	 	3,500	 	 	$	52,809.00	 
	Michael D. Fugit, M.D.
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Michael Furlong
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Geoffrey T. Gainor
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Dennis R. Gancarz
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	GDN Holdings, LLC
	 	 	131,349	 	 	 	18,652	 	 	 	41,913	 	 	 	54,054	 	 	$	856,260.00	 
	Kenneth L. Gibbs, MD and
Beverly T. Gibbs JTWROS
	 	 	—	 	 	 	—	 	 	 	2,950	 	 	 	—	 	 	$	25,075.00	 
	Scott Kean Goodman
	 	 	—	 	 	 	—	 	 	 	19,059	 	 	 	—	 	 	$	162,001.50	 
	UBS Financial Services, Inc.
Cust
FBO R. Hunt Greene IRA
	 	 	—	 	 	 	—	 	 	 	6,500	 	 	 	—	 	 	$	55,250.00	 






B-2









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Daniel Patrick Greenleaf and
Diane Francis Greenleaf
	 	 	—	 	 	 	—	 	 	 	10,000	 	 	 	—	 	 	$	85,000.00	 
	Barry K. Griffith
	 	 	—	 	 	 	—	 	 	 	18,750	 	 	 	—	 	 	$	159,375.00	 
	Edith Guglielmi
	 	 	—	 	 	 	—	 	 	 	7,060	 	 	 	—	 	 	$	60,010.00	 
	David J. Gunther
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Rob Hadley
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Fiserv ISS & Co. Cust
FBO Rob Hadley IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Scott Robert Hannum
	 	 	—	 	 	 	—	 	 	 	11,764	 	 	 	10,810	 	 	$	200,000.00	 
	Scott Merle Hanson
	 	 	—	 	 	 	—	 	 	 	600	 	 	 	—	 	 	$	5,100.00	 
	Steven J. Healy
	 	 	8,815	 	 	 	1,252	 	 	 	9,431	 	 	 	2,948	 	 	$	107,442.50	 
	Syntel, LLC Profit Sharing
Plan FBO
Alfred Harry Herget, Alfred
Harry

Herget, Trustee
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	49,997.00	 
	Richard R. Heuser and Sharon
L. Heuser,
Trustees, R&S Trust dated
8/3/99
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Charles Schwab & Co., Inc. Cust
FBO David Richard Hewitt IRA
	 	 	—	 	 	 	—	 	 	 	13,000	 	 	 	—	 	 	$	110,500.00	 
	Robert C. Hinckle
	 	 	—	 	 	 	—	 	 	 	17,647	 	 	 	—	 	 	$	150,000.00	 
	William Hoffman and
Lilia Helen Hoffman JTWROS
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Jeremy Houseman
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	Derek J. Howe
	 	 	—	 	 	 	—	 	 	 	8,000	 	 	 	—	 	 	$	68,000.00	 
	Wende S. Hutton, Trustee,
Hutton Living Trust dtd
12/10/96
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Innovasc, LLC
	 	 	—	 	 	 	—	 	 	 	4,500	 	 	 	—	 	 	$	38,250.00	 
	Michael Iovanni and
Linda Iovanni, JTWROS
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Andrew J. Iseman and
Shelly D. Iseman JTWROS
	 	 	17,657	 	 	 	2,507	 	 	 	7,108	 	 	 	5,406	 	 	$	110,423.50	 
	Sean Janzer
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,000.00	 
	Sara Jay
	 	 	—	 	 	 	—	 	 	 	5,900	 	 	 	—	 	 	$	50,150.00	 
	Takemito Jimbo
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,002.50	 
	Charles David Joffe, MD
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	Darla R. Johnson and
John A. Beyer JTWROS
	 	 	—	 	 	 	—	 	 	 	3,529	 	 	 	570	 	 	$	35,272.50	 
	Elias H. Kassab
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Salva Kassab and
Suha Kassab JTWROS
	 	 	—	 	 	 	—	 	 	 	3,529	 	 	 	—	 	 	$	30,000.00	 
	KD Holding, Inc.
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	Puneet K. Khanna and
Monica Khanna JTWROS
	 	 	—	 	 	 	—	 	 	 	17,647	 	 	 	—	 	 	$	150,000.00	 
	Yazan Khatib
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Farhad Khosravi, Ttee, Farhad
Khosravi
and Flora Shirzad Khosravi
Trust U/A
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Bertram W. Klein
	 	 	—	 	 	 	—	 	 	 	10,000	 	 	 	6,615	 	 	$	146,188.75	 






B-3









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	E*Trade as Cust
FBO Joseph F. Koziol IRA
	 	 	—	 	 	 	—	 	 	 	5,883	 	 	 	—	 	 	$	50,005.50	 
	Al Kraus and
Eileen Kraus JTWROS
	 	 	—	 	 	 	—	 	 	 	8,825	 	 	 	—	 	 	$	75,012.50	 
	Al Kraus
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	David Kraus, M.D.
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	1,000	 	 	$	34,750.00	 
	Scott Kraus
	 	 	—	 	 	 	—	 	 	 	22,600	 	 	 	—	 	 	$	192,100.00	 
	John T. Kuzara
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Habib John Lahlouh
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	—	 	 	$	51,000.00	 
	David Lamadrid
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	Aaron Lew
	 	 	—	 	 	 	—	 	 	 	17,000	 	 	 	—	 	 	$	144,500.00	 
	MLPF&S Cust FBO Aaron Lew IRA
	 	 	—	 	 	 	—	 	 	 	23,529	 	 	 	—	 	 	$	199,996.50	 
	Robert Lindmeier and
Sheryl Lindmeier
	 	 	—	 	 	 	—	 	 	 	11,764	 	 	 	5,405	 	 	$	150,000.00	 
	William Andrew Lindmeier and
Susan J. Lindmeier JTWROS
	 	 	—	 	 	 	—	 	 	 	5,000	 	 	 	—	 	 	$	42,500.00	 
	Wells Fargo Bank, N.A. as
Trustee of the
Donald M. Longlet Rev Trust
	 	 	—	 	 	 	—	 	 	 	11,764	 	 	 	21,600	 	 	$	299,794.00	 
	Louis Lopez, MD
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,000.00	 
	Richard A. Lotti
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Jonathan K. Lubkert
	 	 	—	 	 	 	—	 	 	 	600	 	 	 	—	 	 	$	5,100.00	 
	Kenneth H. Lubkert and
Elizabeth R. Lubkert JTWROS
	 	 	—	 	 	 	—	 	 	 	4,706	 	 	 	—	 	 	$	40,001.00	 
	Satyaprakash Makam
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Louis Manfredo and
Genevieve Manfredo JTWROS
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	Carol A. Martin, Sole Trustee
of the
Martin Family Revocable Trust
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Lynne Martin and
Tevis P. Martin III
	 	 	—	 	 	 	—	 	 	 	1,200	 	 	 	—	 	 	$	10,200.00	 
	MaxBee Holding Company LLC
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Gary McCord
	 	 	—	 	 	 	—	 	 	 	17,647	 	 	 	—	 	 	$	150,000.00	 
	Christopher W. McNeill
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	John J. Mehalchin
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,002.50	 
	Jacob P. Mercer
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Amir Motarjeme, Trustee of the
Amir
Motarjeme Profit Sharing Plan
FBO
Amir Motarjeme
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	49,997.00	 
	Padmini Natarajan and
B. R. Natarajan JTWROS
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Fiserv ISS & Co. Cust
FBO Thomas P. Neslund IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Thomas P. Neslund
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Hajime Oshita
	 	 	—	 	 	 	—	 	 	 	2,400	 	 	 	—	 	 	$	20,400.00	 
	Marco Ovikian and
Catherine Ovikian, JTWROS
	 	 	—	 	 	 	—	 	 	 	8,823	 	 	 	—	 	 	$	75,000.00	 
	Ashish Pal
	 	 	—	 	 	 	—	 	 	 	30,000	 	 	 	13,500	 	 	$	379,875.00	 
	Tom Pardubeck
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Daryl L. Peterman
	 	 	1,027	 	 	 	146	 	 	 	5,000	 	 	 	5,000	 	 	$	88,750.00	 






B-4









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Loyal M. Peterman, Jr.
	 	 	20,564	 	 	 	2,920	 	 	 	16,124	 	 	 	20,000	 	 	$	322,054.00	 
	John N. Phillips
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	10,810	 	 	$	149,992.50	 
	Cassandra Piippo
	 	 	—	 	 	 	—	 	 	 	589	 	 	 	—	 	 	$	5,006.50	 
	Pinnacle Investment Group, LLC
	 	 	—	 	 	 	—	 	 	 	9,000	 	 	 	6,000	 	 	$	132,000.00	 
	Sridhar Prativadi
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	1,500	 	 	$	63,875.00	 
	Rolando E. Prieto
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	24,998.50	 
	Dave B. Radovich
	 	 	7,203	 	 	 	1,023	 	 	 	25,169	 	 	 	8,138	 	 	$	289,213.00	 
	Robert K. Ranum
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	24,998.50	 
	Ambika Ravindran
	 	 	—	 	 	 	—	 	 	 	12,000	 	 	 	—	 	 	$	102,000.00	 
	Redmile Capital, LP
	 	 	—	 	 	 	—	 	 	 	7,569	 	 	 	—	 	 	$	64,341.00	 
	Redmile Ventures, LLC
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	49,997.00	 
	Redmile Capital Offshore, Ltd.
	 	 	—	 	 	 	—	 	 	 	27,725	 	 	 	—	 	 	$	235,658.00	 
	Michael Reilly and Lisa Reilly
	 	 	—	 	 	 	—	 	 	 	11,764	 	 	 	5,500	 	 	$	150,869.00	 
	Ronald Reuss and
Rita Reuss JTWROS
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Stacey Rickert
	 	 	—	 	 	 	—	 	 	 	10,000	 	 	 	—	 	 	$	85,000.00	 
	Benjamin S. Rinkey
	 	 	—	 	 	 	—	 	 	 	4,000	 	 	 	—	 	 	$	34,000.00	 
	Caleb Rivera
	 	 	—	 	 	 	—	 	 	 	2,940	 	 	 	—	 	 	$	24,990.00	 
	Edward Todd Robbins
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	1,000	 	 	$	34,250.00	 
	Cecilia S. Roberts, Trustee
David K. Roberts Residuary
Trust
	 	 	—	 	 	 	—	 	 	 	21,200	 	 	 	—	 	 	$	180,200.00	 
	David K. Roberts
	 	 	—	 	 	 	—	 	 	 	11,800	 	 	 	—	 	 	$	100,300.00	 
	Todd A. Roberts and
Debra D. Roberts
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Peter Lars Runquist
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Paul W. Schaffer
	 	 	10,216	 	 	 	1,451	 	 	 	20,000	 	 	 	—	 	 	$	170,000.00	 
	James W. Schlesing and
Dona Connelly
	 	 	—	 	 	 	—	 	 	 	7,059	 	 	 	—	 	 	$	60,001.50	 
	Marc S. Schwartzberg
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	Gary M. Scott and Malisa M.
Scott, Ttees
of the Gary and Malisa Scott
Rev Trust
	 	 	—	 	 	 	—	 	 	 	29,500	 	 	 	—	 	 	$	250,750.00	 
	R. Randolph Scott
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Gino J. Sedillo, MD
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	David Shaskey
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Pamela Shaw and
James Shaw JTWROS
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Neil J. Sheehan
	 	 	—	 	 	 	—	 	 	 	2,000	 	 	 	—	 	 	$	17,000.00	 
	Chiemsee Money Purchase Plan,
dtd 03/11/97, FBO Robert T.
Shepard
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	2,000	 	 	$	69,500.00	 
	Robert Shepard and Celia
Shepard, Ttees
of the Shepard Family Trust
dated 2/1/99
	 	 	—	 	 	 	—	 	 	 	6,000	 	 	 	4,000	 	 	$	88,000.00	 
	Harvinder Paul Singh, MD
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Kevin Spanier
	 	 	—	 	 	 	—	 	 	 	1,200	 	 	 	—	 	 	$	10,200.00	 
	Kathleen A. Stauter
	 	 	—	 	 	 	—	 	 	 	1,775	 	 	 	550	 	 	$	20,175.00	 
	Steven Mendelow, Trustee,
Teledata Financial Services
Corp. Profit Shar Plan
	 	 	—	 	 	 	—	 	 	 	23,529	 	 	 	—	 	 	$	200,000.00	 
	Charles Schwab & Co., Inc. Cust
FBO Robert J. Thatcher IRA
	 	 	—	 	 	 	—	 	 	 	12,000	 	 	 	—	 	 	$	102,000.00	 






B-5









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Kimberley J. Thomas and
A. Conrade Thomas JTWROS
	 	 	—	 	 	 	—	 	 	 	5,890	 	 	 	—	 	 	$	50,065.00	 
	TMP, LLLP
	 	 	53,217	 	 	 	7,557	 	 	 	56,768	 	 	 	—	 	 	$	482,529.00	 
	Top Medical Holding B.V.
	 	 	—	 	 	 	—	 	 	 	4,000	 	 	 	8,000	 	 	$	108,000.00	 
	Leslie Trigg and Michael
Trigg, Trustees,
Trigg Family Trust
	 	 	—	 	 	 	—	 	 	 	2,942	 	 	 	—	 	 	$	25,007.00	 
	Edwin C. Tyska
	 	 	—	 	 	 	—	 	 	 	11,765	 	 	 	—	 	 	$	100,000.00	 
	Hector J. Vasquez and
Sandra L. Vasquez
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Greg Vella and Michelle Vella,
Ttees,
Greg Vella and Michelle Vella
Family Tr
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	5,405	 	 	$	100,000.00	 
	Chris Vieira
	 	 	—	 	 	 	—	 	 	 	4,588	 	 	 	—	 	 	$	39,000.00	 
	Douglas A. Waldo, MD
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Joseph A. Wasselle and Stacie
Poole
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	24,998.50	 
	Charles Schwab & Co., Inc. Cust
FBO Burton M. Waxman IRA
	 	 	—	 	 	 	—	 	 	 	7,058	 	 	 	—	 	 	$	60,000.00	 
	Wellspring Capital
	 	 	—	 	 	 	—	 	 	 	176,470	 	 	 	—	 	 	$	1,500,000.00	 
	Wellspring Management, LLC
	 	 	—	 	 	 	—	 	 	 	58,823	 	 	 	—	 	 	$	500,000.00	 
	Martin F. Whalen
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Fiserv ISS & Co. Cust
FBO Kimberly Williamson IRA
	 	 	—	 	 	 	—	 	 	 	5,882	 	 	 	—	 	 	$	50,000.00	 
	Steven Wishnia
	 	 	—	 	 	 	—	 	 	 	3,000	 	 	 	—	 	 	$	25,500.00	 
	Sharon T. Wooster
	 	 	—	 	 	 	—	 	 	 	2,941	 	 	 	—	 	 	$	25,000.00	 
	John T. Arvold
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	Londa
Benjamini & Everett              
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,162	 	 	$	20,000.00	 
	Claude A. Brachfeld
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	Calmedica Capital L.P.
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	97,297	 	 	$	900,000.00	 
	Stephen Carito
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	Sandra Novak Cohen
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,406	 	 	$	50,005.50	 
	Kenneth J. Crowell and
Veronica J. Crowell JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	8,108	 	 	$	75,000.00	 
	Steven Crowell
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	10,810	 	 	$	100,000.00	 
	Marc Daniels
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	540	 	 	$	5,000.00	 
	Tony S. Das
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	17,000	 	 	$	157,250.00	 
	Ronit Eres
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Donald E. Fischer III
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	Joseph D. Flynn, Jr. and Lori
G. Flynn JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,406	 	 	$	50,005.50	 
	GFTH Investment Club
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	4,860	 	 	$	44,955.00	 
	The Gramercy Fund
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	8,108	 	 	$	75,000.00	 
	Ron B. Guillot, Jr.
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,703	 	 	$	25,002.75	 
	Kimberly B. Haynie
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	3,244	 	 	$	30,007.00	 
	James C. Hays
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	AG Edwards Custodian Richard
R. Heuser Rollover IRA
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	8,108	 	 	$	75,000.00	 
	William Michael Keith
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	3,784	 	 	$	35,002.00	 
	Paul A. Koehn
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	3,784	 	 	$	35,002.00	 
	Carleen Lunceford and Marvin
Lunceford JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,703	 	 	$	25,002.75	 






B-6









 






	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Series A	 	 	Series A	 	 	Series A-1	 	 	Series B	 	 	 	 
	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Preferred	 	 	Aggregate	 
	Name of Investor	 	Shares	 	 	Warrant	 	 	Shares	 	 	Shares	 	 	Purchase Price	 
	Guy S. Mayeda and Amy A.
Mayeda, Ttees, Guy and Amy
Mayeda Living Trust
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Heather J. McHugh
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,406	 	 	$	50,005.50	 
	Michael G. Micheli and Lisa
Micheli JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Steven Nelson
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	James B. Park
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	6,000	 	 	$	55,500.00	 
	Jeffrey Peterson
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	7,000	 	 	$	64,750.00	 
	Steven A. Points and Wanda J.
Points JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Thomas L. Press
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	54,054	 	 	$	500,000.00	 
	Derrick Carlton Rice
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,162	 	 	$	20,000.00	 
	RKV Limited Partnership
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Ameriprise Trust Co FBO Dr.
Caleb Rivera IRA
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,302	 	 	 	21,293.50	 
	Sajaitha Salvaji
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,406	 	 	$	50,005.50	 
	David Saphiere
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,700	 	 	$	24,975.00	 
	Saratoga Ventures IV LP
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	54,054	 	 	$	499,999.50	 
	Saratoga Ventures V LP
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	54,054	 	 	$	499,999.50	 
	Saratoga Ventures VI LP
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	27,027	 	 	$	249,999.75	 
	Rakesh R. Shah and Hetal R.
Shah JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,703	 	 	$	25,002.75	 
	Murray L. Shames
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,702	 	 	$	25,000.00	 
	Shanti Global Limited
Partnership
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	Greg Smart
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	4,864	 	 	$	45,000.00	 
	Stell Investments LLC
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,500	 	 	$	50,875.00	 
	Michael P. Swenson
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,400	 	 	$	49,950.00	 
	Thadd C. Taylor
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,703	 	 	$	25,002.75	 
	Erik Vollbrecht
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	3,540	 	 	$	32,745.00	 
	Pattie A. White
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,700	 	 	$	24,975.00	 
	Whitebox Hedged High Yield
Partners, LP
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	939,517	 	 	$	8,690,532.25	 
	Delano Franklin Young and
Melissa Kay Young JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	2,704	 	 	$	25,002.75	 
	Mark Zuzga D.O. and Melynda
Zuzga D.O. JTWROS
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	5,405	 	 	$	50,000.00	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Total
	 	 	4,002,644	 	 	 	568,374	 	 	 	2,188,425	 	 	 	2,162,150	 	 	$	42,601,817.75	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 







B-7