GENERAL ELECTRIC CAPITAL SERVICES INC/CT

SEC source: 0001140361-12-009333 · doc1.xml · nonDerivative · entry 1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The Issuer redeemed all of its Series B Redeemable Preferred Stock at a redemption price equal to $8.288 per share plus accrued and unpaid cash dividends thereon.

F1 · price: The Issuer redeemed all of its Series B Redeemable Preferred Stock at a redemption price equal to $8.288 per share plus accrued and unpaid cash dividends thereon.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-10-000208 · genpact_form4ex.xml · derivative · entry 3

GE Capital (Mauritius) Holdings Ltd · CIK 0001407940 · 10% owner

GE Capital International (Mauritius) · CIK 0001408110 · 10% owner

GE Indian Services Holding Private LTD · CIK 0001408472 · 10% owner

GE India Ventures LLC · CIK 0001408505 · 10% owner

General Electric Capital Services Indian Investments LLC · CIK 0001408506 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1

Underlying: Common Shares · Not disclosed shares

Expires not disclosed

F5 · derivative.exercise_price: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · derivative.exercise_price: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · kind: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · kind: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · price: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · price: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · derivative.exercise_date: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · derivative.exercise_date: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · derivative.expiration_date: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · derivative.expiration_date: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · derivative.underlying_shares: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · derivative.underlying_shares: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

F5 · ownership.direct: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.

F6 · ownership.direct: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.

SEC source: 0000909518-10-000208 · genpact_form4ex.xml · nonDerivative · entry 2

GE Capital (Mauritius) Holdings Ltd · CIK 0001407940 · 10% owner

GE Capital International (Mauritius) · CIK 0001408110 · 10% owner

GE Indian Services Holding Private LTD · CIK 0001408472 · 10% owner

GE India Ventures LLC · CIK 0001408505 · 10% owner

General Electric Capital Services Indian Investments LLC · CIK 0001408506 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,947,364

F3 · kind: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings").

F4 · ownership.direct: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC, India Ventures and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-10-000208 · genpact_form4ex.xml · nonDerivative · entry 1

GE Capital (Mauritius) Holdings Ltd · CIK 0001407940 · 10% owner

GE Capital International (Mauritius) · CIK 0001408110 · 10% owner

GE Indian Services Holding Private LTD · CIK 0001408472 · 10% owner

GE India Ventures LLC · CIK 0001408505 · 10% owner

General Electric Capital Services Indian Investments LLC · CIK 0001408506 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Sale by GE Capital International (Mauritius) ("International").

F2 · ownership.direct: Directly owned by International. Indirectly owned by GE Indian Services Holding Private Limited ("Indian Holding"), GE India Ventures LLC ("India Ventures"), General Electric Capital Services Indian Investments LLC ("Indian Investments"), General Electric Capital Corporation ("GECC"), General Electric Capital Services, Inc. ("GECS") and General Electric Company ("GE"). International is owned by India Ventures and Indian Holding, which is a subsidiary of India Ventures, which is a subsidiary of Indian Investments, which is a subsidiary of GECC, which is a subsidiary of GECS, which is a subsidiary of GE. Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by International, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 9

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,631,191 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 8

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,497,918 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 7

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,382,925 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 6

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800,945 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 4

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,512,034

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 3

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,880,843

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,382,925

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1

GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1

GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,945

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.

F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE").

F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.

SEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · derivative · entry 3

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000,000

Underlying: Common Stock · 6,000,000 shares

Expires 2019-02-25

F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · derivative · entry 2

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,339,500 shares

Expires not disclosed

F3 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F3 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F3 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · nonDerivative · entry 1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,929,266

F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000.

F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-07-001071 · mauritius_form4ex.xml · nonDerivative · entry 2

GE Capital (Mauritius) Holdings Ltd · CIK 0001407940 · 10% owner

GE Capital International (Mauritius) · CIK 0001408110 · 10% owner

GE Indian Services Holding Private LTD · CIK 0001408472 · 10% owner

GE India Ventures LLC · CIK 0001408505 · 10% owner

General Electric Capital Services Indian Investments LLC · CIK 0001408506 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,928,342

F2 · kind: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings"), to an affiliate of a limited partner in another shareholder of the issuer, for settlement December 18, 2007. The transferee will hold the shares subject to the lock-up that Holdings previously agreed with the underwriters in connection with the initial public offering of the issuer's shares.

F3 · ownership.direct: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-07-000725 · mauritius_form4ex.xml · nonDerivative · entry 2

GE Capital (Mauritius) Holdings Ltd · CIK 0001407940 · 10% owner

GE Capital International (Mauritius) · CIK 0001408110 · 10% owner

GE Indian Services Holding Private LTD · CIK 0001408472 · 10% owner

GE India Ventures LLC · CIK 0001408505 · 10% owner

General Electric Capital Services Indian Investments LLC · CIK 0001408506 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,928,342

F2 · kind: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings").

F3 · ownership.direct: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-06-000657 · nbc6-2806_form4ex.xml · derivative · entry 2

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,339,500

Underlying: Common Stock · 1,206,258 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F2 · kind: A wholly-owned subsidiary of NBC Universal, Inc. ("NBC") sold the shares to an affiliate, GE Capital Equity Investments, Inc. ("GECEI").

F3 · price: $12.75684 per share.

F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F5 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-06-000657 · nbc6-2806_form4ex.xml · derivative · entry 1

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,206,258 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F2 · kind: A wholly-owned subsidiary of NBC Universal, Inc. ("NBC") sold the shares to an affiliate, GE Capital Equity Investments, Inc. ("GECEI").

F3 · price: $12.75684 per share.

F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends.

F4 · ownership.direct: Directly owned by NBC through a wholly-owned subsidiary. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-06-000247 · gefahi3-6_form4ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000955 · gefahi12-5form4_2ex.xml · nonDerivative · entry 2

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,216,000

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000955 · gefahi12-5form4_2ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,066,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · derivative · entry 4

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,125,000 shares

Expires 2005-11-16

F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer.

F4 · price: Not applicable.

F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").

SEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · nonDerivative · entry 2

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 382,708

F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer.

F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").

SEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · nonDerivative · entry 1

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,226,509

F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer.

F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").

SEC source: 0000909518-05-000954 · gefahi12-5form4_1ex.xml · nonDerivative · entry 2

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,066,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000954 · gefahi12-5form4_1ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,216,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000753 · gefahi9-21_form4ex.xml · nonDerivative · entry 2

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,216,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000753 · gefahi9-21_form4ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,216,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000921530-05-000484 · edgar.xml · nonDerivative · entry 1

GREENWATER HOLDINGS LTD · CIK 0001280748 · 10% owner

HELLER INTERNATIONAL GROUP INC · CIK 0001280749 · See notes (2) and (3)

HELLER FINANCIAL INC · CIK 0000046738 · See notes (2) and (3)

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · See notes (2) and (3)

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See notes (2) and (3)

GENERAL ELECTRIC CO · CIK 0000040545 · See notes (2) and (3)

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,241,318

F1 · date: The parties reached agreement as to material terms on July 15, 2005. The transaction was executed on Nasdaq on July 19, 2005.

F2 · ownership.direct: These shares are owned directly by Greenwater Holding, Ltd. ("Greenwater"). Heller International Group, Inc. ("HIG") is the sole shareholder of Greenwater. Heller Financial, Inc. ("Heller Financial") is the sole shareholder of HIG. General Electric Capitol Corporation ("GECC") is the sole shareholder of Heller Financial. General Electric Capital Services, Inc. ("GECS") is the sole shareholder of GECC. General Electric Company ("GE") is the sole shareholder of GECS.

F3 · ownership.direct: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE, GECS, GECC, Heller Financial and HIG disclaims beneficial ownership of the Common Stock directly owned by Greenwater.

SEC source: 0000909518-05-000514 · ge7-12_form4ex.xml · nonDerivative · entry 1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See Exhibit 99.1

NBC Universal, Inc. · CIK 0000902739 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,069,486

F1 · date: Sale agreement entered into on July 8, 2005, but closing will not occur until a future date.

F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. Also indirectly owned by NBC Universal, Inc. ("NBC") because of an agreement between GECEI and NBC regarding allocation of investment proceeds. GECEI, GE Capital and NBC disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-05-000200 · gefahi3-24_form4ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 243,216,559

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-05-000094 · ge2-15_form4ex.xml · nonDerivative · entry 1

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See Exhibit 99.1

NBC Universal, Inc. · CIK 0000902739 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1

GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,674,418

F1 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. Also indirectly owned by NBC Universal, Inc. ("NBC") because of an agreement between GECEI and NBC regarding allocation of investment proceeds. GECEI, GE Capital and NBC disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein.

SEC source: 0000909518-04-000607 · msg7-9_form4ex.xml · nonDerivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,910

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000607 · msg7-9_form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,610

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000571 · msg6-23_form4ex.xml · nonDerivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,410

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000571 · msg6-23_form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,710

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000559 · gecc6-17_form4ex.xml · nonDerivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,310

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation

SEC source: 0000909518-04-000559 · gecc6-17_form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,110

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation

SEC source: 0001104659-04-017026 · a4.xml · derivative · entry 3

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,006,595 shares

Expires 2012-07-19

F6 · derivative.exercise_price: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation.

F7 · kind: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75.

F6 · shares: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation.

F7 · price: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75.

SEC source: 0001104659-04-017026 · a4.xml · derivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,834,324 shares

Expires not disclosed

F4 · derivative.exercise_price: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation").

F5 · kind: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73.

F5 · price: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73.

F3 · derivative.expiration_date: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date.

SEC source: 0001104659-04-017026 · a4.xml · derivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,761,447 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company.

F2 · kind: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47.

F2 · price: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47.

F3 · derivative.expiration_date: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date.

SEC source: 0000909518-04-000550 · msg6-15_form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,610

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000541 · gefahi6-8_form4ex.xml · nonDerivative · entry 1

GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner

GEI, Inc. · CIK 0001290757 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,088,145

F2 · kind: Sale in connection with the exercise of an over-allotment option by the underwriters.

F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.

SEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · derivative · entry 3

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 222,292 shares

Expires 2007-12-31

F2 · price: The zero ("0") in this column is a "dummy" amount, solely for the purpose of permitting the use of a descriptive footnote stating that the price is not applicable.

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · nonDerivative · entry 2

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,895

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · nonDerivative · entry 1

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner

GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,292

F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.

SEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · derivative · entry 4

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 200,000 shares

Expires not disclosed

F5 · price: Not applicable.

F4 · derivative.exercise_date: Vests in three tranches: 4/22/99 - 200,000 shares; 4/22/00 - an additional 125,000 shares; and 11/16/00 - an additional 1,125,000 shares. Expiration date as to: first tranche - 4/22/04; second tranche - 4/22/05; and third tranche - 11/16/05.

F4 · derivative.expiration_date: Vests in three tranches: 4/22/99 - 200,000 shares; 4/22/00 - an additional 125,000 shares; and 11/16/00 - an additional 1,125,000 shares. Expiration date as to: first tranche - 4/22/04; second tranche - 4/22/05; and third tranche - 11/16/05.

F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").

SEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · nonDerivative · entry 2

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,509

F3 · kind: Partial exercise of the Distributor Warrant in a cashless manner with Issuer.

F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").

SEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · nonDerivative · entry 1

NBC Universal, Inc. · CIK 0000902739 · 10% owner

National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info

GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner

GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner

GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info

GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

F3 · kind: Partial exercise of the Distributor Warrant in a cashless manner with Issuer.

F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC").