organization · Reporting owner

JPMORGAN CHASE & CO

Disclosed activity across 52 companies

Tapewire entity: 2795
SEC CIK: 0000019617

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
1 800 FLOWERS COM INCFLWS · Entity 6237	10% owner	December 10, 2004	January 11, 2005
ANESIVA, INC.ANSV · Entity 13652	10% owner	June 22, 2006	June 26, 2006
ARBINET THEXCHANGE INCARBX · Entity 13963	10% owner	December 21, 2004	December 23, 2004
Atlanticus Holdings CorpATLC · Entity 8973	10% owner	December 31, 2012	July 22, 2014
BARRIER THERAPEUTICS INCBTRX · Entity 13927	10% owner	December 30, 2004	January 04, 2005
BEAR STEARNS COMPANIES INCBSC · Entity 13412	10% owner	May 29, 2008	June 02, 2008
BILL BARRETT CORPBBG · Entity 13828	10% owner	December 15, 2004	December 27, 2004
BLACKROCK MUNIHOLDINGS FUND, INC.MHD · Entity 8857	10% owner	June 02, 2026	June 05, 2026
Bridger Aerospace Group Holdings, Inc.BAER · Entity 277	10% owner	January 24, 2023	April 03, 2023
CANDLEWOOD HOTEL CO INCCNDL · Entity 14143	See footnote (2)	October 27, 2003	November 07, 2003
EYETECH PHARMACEUTICALS INCEYET · Entity 13992	10% owner	October 28, 2004	October 29, 2004
HUDSON TECHNOLOGIES INC /NYhdsnc · Entity 6244	10% owner	March 31, 2004	April 02, 2004
IMH Financial CorpNONE · Entity 11943	10% owner · Director by Deputization	October 24, 2019	October 28, 2019
MYOGEN INCMYOG · Entity 14144	10% owner	November 04, 2003	November 06, 2003
NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 2NKR · Entity 13325	10% owner	January 14, 2009	January 15, 2009
OGLEBAY NORTON CO /OHIO/OGBY.OG · Entity 13643	10% owner	July 21, 2006	July 24, 2006
ONEIDA LTDONEI · Entity 13698	10% owner	August 09, 2004	August 19, 2004
PortalPlayer, Inc.PLAY · Entity 13955	10% owner	December 31, 2004	January 04, 2005
Ribbon Communications Inc.RBBN · Entity 5785	10% owner	April 09, 2025	April 11, 2025
SANTARUS INCSNTS · Entity 13856	10% owner	June 09, 2005	June 13, 2005
SAVVIS, Inc.SVVS · Entity 13858	See Remarks	June 03, 2005	June 13, 2005
Seagen Inc.SGEN · Entity 13956	10% owner	December 30, 2004	January 04, 2005
TRITON PCS HOLDINGS INCTPCS · Entity 14048	10% owner	May 25, 2004	May 27, 2004
Triangle Petroleum CorpTPLM · Entity 12249	10% owner	October 19, 2017	October 30, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

1 800 FLOWERS COM INC

Report date December 10, 2004 · Filed January 11, 2005

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $8.78 · Expires 2014-12-10	IndirectFootnote	10,000	Reported balance After 2004-12-10 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2004-12-10 · Grant · Acquired 10,000 · Balance 10,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $3.65 · Expires 2010-12-06	IndirectFootnote	25,000	Reported balance Holding disclosure · report date 2004-12-10 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 25,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.34 · Expires 2011-12-04	IndirectFootnote	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 5,000 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC. F1: These stock options are immediately exercisable.
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $11.81 · Expires 2013-12-02	IndirectFootnote	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 5,000 F1: These stock options are immediately exercisable. F3: These stock options were issued to J.P. Morgan Partners, LLC, the investment advisor to JPM SBIC.
Class A Common StockSEC Table I · non-derivative	Direct	3,208,240	Reported balance Holding disclosure · report date 2004-12-10 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,208,240
Stock Option (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $10.46 · Expires 2012-12-04	Direct	5,000	Reported balance Holding disclosure · report date 2004-12-10 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 5,000 F1: These stock options are immediately exercisable.

Filing footnotes · ownership attribution and instrument terms

F1: These stock options are immediately exercisable.

F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, President of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. In July 2002, the stock options were transferred to JPM SBIC.

F3: These stock options were issued to J.P. Morgan Partners, LLC, the investment advisor to JPM SBIC.

ANESIVA, INC.

Report date June 22, 2006 · Filed June 26, 2006

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS A LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL INVESTORS L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.87 · Expires 2016-06-22	IndirectSee footnote	10,000	Reported balance After 2006-06-22 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2006-06-22 · Grant · Acquired 10,000 · Balance 10,000 F9: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.20 · Expires 2012-12-03	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2006-06-22 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 10,000 F6: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 48 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.44 · Expires 2015-06-07	IndirectSee footnote	2,500	Reported balance Holding disclosure · report date 2006-06-22 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 2,500 F7: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.
Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.80 · Expires 2015-12-16	IndirectSee footnote	50,000	Reported balance Holding disclosure · report date 2006-06-22 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 50,000 F8: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. One-quarter of these shares are immediately vested, the remainder of the shares will vest in equal monthly installments over 48 months. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	Direct	2,886,121	Reported balance Holding disclosure · report date 2006-06-22 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,886,121
Common StockSEC Table I · non-derivative	IndirectSee footnote	234,689	Reported balance Holding disclosure · report date 2006-06-22 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 234,689 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	35,134	Reported balance Holding disclosure · report date 2006-06-22 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 35,134 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	118,118	Reported balance Holding disclosure · report date 2006-06-22 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 118,118 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. The Reporting Person has no pecuniary interest in such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	13,198	Reported balance Holding disclosure · report date 2006-06-22 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 13,198 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman II), L.P. The Reporting Person has no pecuniary interest n such securities.
Common StockSEC Table I · non-derivative	IndirectSee footnote	81,769	Reported balance Holding disclosure · report date 2006-06-22 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 81,769 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. The Reporting Person has no pecuniary interest in such securities.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P. The Reporting Person has no pecuniary interest in such securities.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P. The Reporting Person has no pecuniary interest in such securities.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. The Reporting Person has no pecuniary interest in such securities.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman II), L.P. The Reporting Person has no pecuniary interest n such securities.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. The Reporting Person has no pecuniary interest in such securities.

F6: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"). Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 48 months. The Reporting Person has no pecuniary interest in such securities.

F7: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.

F8: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. One-quarter of these shares are immediately vested, the remainder of the shares will vest in equal monthly installments over 48 months. The Reporting Person has no pecuniary interest in such securities.

F9: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC. The option is immediately exercisable. Shares subject to the option vest monthly over 12 months. The Reporting Person has no pecuniary interest in such securities.

ARBINET THEXCHANGE INC

Report date December 21, 2004 · Filed December 23, 2004

Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, J P MORGAN PARTNERS 23A SBIC MANAGER INC, JP MORGAN CHASE BANK

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	691,421	Reported balance After 2004-12-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-21 · Conversion · Acquired 691,421 · Balance 691,421 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Common StockSEC Table I · non-derivative	Direct	715,356	Reported balance After 2004-12-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-12-21 · Conversion · Acquired 23,935 · Balance 715,356 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Common StockSEC Table I · non-derivative	Direct	1,216,072	Reported balance After 2004-12-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2004-12-21 · Conversion · Acquired 500,716 · Balance 1,216,072 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Common StockSEC Table I · non-derivative	Direct	1,716,788	Reported balance After 2004-12-21 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2004-12-21 · Conversion · Acquired 500,716 · Balance 1,716,788 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Common StockSEC Table I · non-derivative	Direct	2,017,220	Reported balance After 2004-12-21 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2004-12-21 · Conversion · Acquired 300,432 · Balance 2,017,220 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Common StockSEC Table I · non-derivative	Direct	1,320,958	Reported balance After 2004-12-21 transaction · row 6 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 6 · 2004-12-21 · Sale · Disposed 696,262 · Balance 1,320,958
Common StockSEC Table I · non-derivative	IndirectSee footnote	549,206	Reported balance After 2004-12-21 transaction · row 7 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 7 · 2004-12-21 · Conversion · Acquired 549,206 · Balance 549,206 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
Common StockSEC Table I · non-derivative	IndirectSee footnote	602,006	Reported balance After 2004-12-21 transaction · row 8 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 8 · 2004-12-21 · Conversion · Acquired 52,800 · Balance 602,006 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
Common StockSEC Table I · non-derivative	IndirectSee footnote	394,218	Reported balance After 2004-12-21 transaction · row 9 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 9 · 2004-12-21 · Sale · Disposed 207,788 · Balance 394,218 F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
Common StockSEC Table I · non-derivative	IndirectSee footnote	142,214	Reported balance After 2004-12-21 transaction · row 10 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 10 · 2004-12-21 · Conversion · Acquired 142,214 · Balance 142,214 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	153,604	Reported balance After 2004-12-21 transaction · row 11 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 11 · 2004-12-21 · Conversion · Acquired 11,390 · Balance 153,604 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	100,587	Reported balance After 2004-12-21 transaction · row 12 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 12 · 2004-12-21 · Sale · Disposed 53,017 · Balance 100,587 F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2004-12-21 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2004-12-21 · Conversion · Disposed 2,950,877 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2004-12-21 transaction · row 14 Instrument identity requires review; Table II rows are not merged. 1 source row Row 14 · 2004-12-21 · Conversion · Disposed 2,343,930 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
Series C Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2004-12-21 transaction · row 15 Instrument identity requires review; Table II rows are not merged. 1 source row Row 15 · 2004-12-21 · Conversion · Disposed 606,947 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2004-12-21 transaction · row 16 Instrument identity requires review; Table II rows are not merged. 1 source row Row 16 · 2004-12-21 · Conversion · Disposed 76,901 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2004-12-21 transaction · row 17 Instrument identity requires review; Table II rows are not merged. 1 source row Row 17 · 2004-12-21 · Conversion · Disposed 169,636 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.
Series D Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2004-12-21 transaction · row 18 Instrument identity requires review; Table II rows are not merged. 1 source row Row 18 · 2004-12-21 · Conversion · Disposed 36,598 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock. F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.
Series D-1 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2004-12-21 transaction · row 19 Instrument identity requires review; Table II rows are not merged. 1 source row Row 19 · 2004-12-21 · Conversion · Disposed 8,011,468 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Series E Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2004-12-21 transaction · row 20 Instrument identity requires review; Table II rows are not merged. 1 source row Row 20 · 2004-12-21 · Conversion · Disposed 8,011,468 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.
Series E-1 Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2004-12-21 transaction · row 21 Instrument identity requires review; Table II rows are not merged. 1 source row Row 21 · 2004-12-21 · Conversion · Disposed 4,806,921 · Balance 0 F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series C Cumulative Convertible Preferred Stock, Series D Convertible Preferred Stock, Series D-1 Convertible Preferred Stock, Series E Convertible Preferred Stock and Series E-1 Convertible Preferred Stock automatically converted into common stock, reflecting all stock splits and other adjustments pursuant to the Issuer's Certificate of Incorporation, as amended, upon the closing of the Issuer's initial public offering of common stock.

F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by JPMorgan SBIC, LLC.

F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by Sixty Wall Street SBIC Fund, L.P.

Atlanticus Holdings Corp

Report date December 31, 2012 · Filed July 22, 2014

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,583	Reported balance After 2013-10-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2013-10-24 · Purchase · Acquired 3 · Balance 1,672,583
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,661,085	Reported balance After 2013-11-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2013-11-14 · Purchase · Acquired 2 · Balance 1,661,085
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,340	Reported balance After 2013-11-25 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2013-11-25 · Sale · Disposed 45 · Balance 1,672,340
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,340	Reported balance After 2013-11-25 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2013-11-25 · Sale · Disposed 100 · Balance 1,672,340
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,340	Reported balance After 2013-11-25 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2013-11-25 · Sale · Acquired 100 · Balance 1,672,340
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,743	Reported balance After 2013-12-04 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2013-12-04 · Purchase · Acquired 3 · Balance 1,672,743
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,740	Reported balance After 2013-12-18 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2013-12-18 · Sale · Disposed 3 · Balance 1,672,740
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,755	Reported balance After 2013-12-27 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2013-12-27 · Purchase · Acquired 15 · Balance 1,672,755
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,672,520	Reported balance After 2014-01-07 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2014-01-07 · Purchase · Acquired 174 · Balance 1,672,520
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,535,672	Reported balance After 2013-02-01 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 10 · 2013-02-01 · Sale · Acquired 69.33 · Balance 1,535,672
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,535,672	Reported balance After 2013-02-12 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 11 · 2013-02-12 · Purchase · Acquired 69.33 · Balance 1,535,672
Common StockSEC Table I · non-derivative	IndirectSee Footnote 1	1,535,672	Reported balance After 2013-02-15 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 12 · 2013-02-15 · Purchase · Acquired 79,300 · Balance 1,535,672

BARRIER THERAPEUTICS INC

Report date December 30, 2004 · Filed January 04, 2005

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS A LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL INVESTORS L P

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,323,666	Reported balance After 2004-12-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-30 · Sale · Disposed 147,134 · Balance 2,323,666
Common StockSEC Table I · non-derivative	IndirectSee footnote	147,134	Reported balance After 2004-12-30 transaction · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · 2004-12-30 · Purchase · Acquired 147,134 · Balance 147,134 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. ("Selldown").
Common StockSEC Table I · non-derivative	IndirectSee footnote	397,975	Reported balance Holding disclosure · report date 2004-12-30 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 397,975 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	201,635	Reported balance Holding disclosure · report date 2004-12-30 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 201,635 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	55,380	Reported balance Holding disclosure · report date 2004-12-30 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 55,380 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	22,483	Reported balance Holding disclosure · report date 2004-12-30 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 22,483 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P. ("Selldown").

BEAR STEARNS COMPANIES INC

Report date May 29, 2008 · Filed June 02, 2008

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	119,061,275	Last balance in matching sequence After 2008-05-29 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2008-05-29 · Other · Acquired 1,300 · Balance 119,060,475 F1: Includes the indirect beneficial ownership of 2,100 shares owned by J.P. Morgan Whitefriars Inc., a wholly owned subsidiary of the Reporting Person. Row 2 · 2008-05-29 · Other · Acquired 800 · Balance 119,061,275 F1: Includes the indirect beneficial ownership of 2,100 shares owned by J.P. Morgan Whitefriars Inc., a wholly owned subsidiary of the Reporting Person.
Options to Sell Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $60.00 · Expires 2010-01-15	Indirectby subsidiary	12,500	Reported balance After 2008-05-29 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2008-05-29 · Other · Disposed 1,300 · Balance 12,500
Options to Sell Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $100.00 · Expires 2010-01-15	Indirectby subsidiary	8,300	Reported balance After 2008-05-29 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2008-05-29 · Other · Disposed 800 · Balance 8,300
Option to Buy Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2010-01-16	Indirectby subsidiary	0	Reported balance After 2008-05-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2008-05-30 · Purchase · Disposed 168,900 · Balance 0
Option to Buy Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $100.00 · Expires 2009-01-17	Indirectby subsidiary	0	Reported balance After 2008-05-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2008-05-30 · Purchase · Disposed 590,700 · Balance 0
Option to Buy Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $105.00 · Expires 2009-01-17	Indirectby subsidiary	0	Reported balance After 2008-05-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2008-05-30 · Purchase · Disposed 205,600 · Balance 0
Option to Buy Common Stock (Short Position)SEC Table II · derivative / convertible security · Conversion / exercise price $110.00 · Expires 2009-01-17	Indirectby subsidiary	0	Reported balance After 2008-05-30 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2008-05-30 · Purchase · Disposed 608,500 · Balance 0
$183,000 Reverse Exchangeables NotesSEC Table II · derivative / convertible security · Expires 2008-05-30	Indirectby subsidiary	0	Reported balance After 2008-05-30 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2008-05-30 · Other · Disposed 0 · Balance 0 F2: Pursuant to the terms of these Notes, the Reporting Person was obligated to deliver on the expiration date the number of shares of common stock of the Issuer ("Common Stock") equal to $183,000 divided by $147.55, plus accrued unpaid interest, or the cash value thereof. The Notes were settled as of May 30, 2008 by delivering $71.74 in cash per $1,000 principal amount of the Notes.

Filing footnotes · ownership attribution and instrument terms

F1: Includes the indirect beneficial ownership of 2,100 shares owned by J.P. Morgan Whitefriars Inc., a wholly owned subsidiary of the Reporting Person.

F2: Pursuant to the terms of these Notes, the Reporting Person was obligated to deliver on the expiration date the number of shares of common stock of the Issuer ("Common Stock") equal to $183,000 divided by $147.55, plus accrued unpaid interest, or the cash value thereof. The Notes were settled as of May 30, 2008 by delivering $71.74 in cash per $1,000 principal amount of the Notes.

BILL BARRETT CORP

Report date December 15, 2004 · Filed December 27, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC, JP MORGAN PARTNERS GLOBAL INVESTORS LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN LP, J P MORGAN PARTNERS GLOBAL INVESTORS CAYMAN II LP, JPMP GLOBAL FUND BILL BARRETT A LP, JPMP GLOBAL FUND BILL BARRETT LP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	3,382,856	Reported balance Holding disclosure · report date 2004-12-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 3,382,856
Common StockSEC Table I · non-derivative	IndirectSee footnote	578,471	Reported balance Holding disclosure · report date 2004-12-15 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 578,471 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	251,691	Reported balance Holding disclosure · report date 2004-12-15 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 251,691 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	32,660	Reported balance Holding disclosure · report date 2004-12-15 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 32,660 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	101,211	Reported balance Holding disclosure · report date 2004-12-15 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 101,211 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	41,095	Reported balance Holding disclosure · report date 2004-12-15 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 41,095 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	81,424	Reported balance Holding disclosure · report date 2004-12-15 · row 7 Holding and transaction disclosures are not merged. 1 source row Row 7 · Balance 81,424 F6: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	112,992	Reported balance Holding disclosure · report date 2004-12-15 · row 8 Holding and transaction disclosures are not merged. 1 source row Row 8 · Balance 112,992 F7: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett/Selldown, L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett A, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett, L.P.

F6: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F7: The amount shown represents the beneficial ownership of the Issuer's equity securities by JPMP Global Fund/Bill Barrett/Selldown, L.P.

BLACKROCK MUNIHOLDINGS FUND, INC.

Report date June 02, 2026 · Filed June 05, 2026

Jointly reported with DNT Asset Trust

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-06-02 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-06-02 · Other · Disposed 7,178 · Balance 0 F1: The 7,178 Series W-7 Variable Rate Muni Term Preferred Shares (the "VMTP Shares") shown in Table I represent VMTP Shares of the Issuer that, prior to the transaction date specified above were beneficially owned directly by DNT Asset Trust ("DNT Trust"). On the transaction date specified above, DNT Trust deposited the VMTP Shares into a trust designated as the JPM PD Series 5114 Trust (the "TOB Trust"). DNT Trust, as a beneficiary of the TOB Trust and through its contractual rights, retains an indirect beneficial ownership in the VMTP Shares. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Trust	7,178	Reported balance After 2026-06-02 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2026-06-02 · Other · Acquired 7,178 · Balance 7,178 F1: The 7,178 Series W-7 Variable Rate Muni Term Preferred Shares (the "VMTP Shares") shown in Table I represent VMTP Shares of the Issuer that, prior to the transaction date specified above were beneficially owned directly by DNT Asset Trust ("DNT Trust"). On the transaction date specified above, DNT Trust deposited the VMTP Shares into a trust designated as the JPM PD Series 5114 Trust (the "TOB Trust"). DNT Trust, as a beneficiary of the TOB Trust and through its contractual rights, retains an indirect beneficial ownership in the VMTP Shares. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust.

Filing footnotes · ownership attribution and instrument terms

F1: The 7,178 Series W-7 Variable Rate Muni Term Preferred Shares (the "VMTP Shares") shown in Table I represent VMTP Shares of the Issuer that, prior to the transaction date specified above were beneficially owned directly by DNT Asset Trust ("DNT Trust"). On the transaction date specified above, DNT Trust deposited the VMTP Shares into a trust designated as the JPM PD Series 5114 Trust (the "TOB Trust"). DNT Trust, as a beneficiary of the TOB Trust and through its contractual rights, retains an indirect beneficial ownership in the VMTP Shares.

F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust.

F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Bridger Aerospace Group Holdings, Inc.

Report date January 24, 2023 · Filed April 03, 2023

Jointly reported with JPMorgan Chase Funding Inc.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	Not disclosed	Reported balance Holding disclosure · report date 2023-01-24 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: Each share of Series A Preferred Stock is convertible, at the holder's election at any time, into such number of shares of Common Stock as is determined by dividing (x) the then current accrued liquidation preference of such shares (including any accrued and unpaid dividends since the most recent dividend payment date) by (y) a conversion price of $11.00 per share (or $9.00 per share if converted within 30 days following the closing of the Issuer's initial business combination), subject to specified adjustments as set forth in the Issuer's Certificate of Incorporation. No fractional securities will be issued upon conversion of a share of Series A Preferred Stock, and, in lieu of such fractional shares, the Issuer will pay cash equal to such fraction multiplied by the applicable conversion price. F2: The securities reported herein are directly owned by JPMorgan Chase Funding Inc., a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock is convertible, at the holder's election at any time, into such number of shares of Common Stock as is determined by dividing (x) the then current accrued liquidation preference of such shares (including any accrued and unpaid dividends since the most recent dividend payment date) by (y) a conversion price of $11.00 per share (or $9.00 per share if converted within 30 days following the closing of the Issuer's initial business combination), subject to specified adjustments as set forth in the Issuer's Certificate of Incorporation. No fractional securities will be issued upon conversion of a share of Series A Preferred Stock, and, in lieu of such fractional shares, the Issuer will pay cash equal to such fraction multiplied by the applicable conversion price.

F2: The securities reported herein are directly owned by JPMorgan Chase Funding Inc., a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

CANDLEWOOD HOTEL CO INC

Report date October 27, 2003 · Filed November 07, 2003

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $7.00 · Expires 2004-09-30	IndirectSee footnote 2	Not disclosed	Reported balance Holding disclosure · report date 2003-10-27 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: Exercisable immediately F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp. (the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the sole general partner of J.P. Morgan Partners (BHCA), L.P., which is the sole member of JPM SBIC). The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables including the internal rate of return and vesting of interests within MF Manager.

Filing footnotes · ownership attribution and instrument terms

F1: Exercisable immediately

F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp. (the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the sole general partner of J.P. Morgan Partners (BHCA), L.P., which is the sole member of JPM SBIC). The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables including the internal rate of return and vesting of interests within MF Manager.

EYETECH PHARMACEUTICALS INC

Report date October 28, 2004 · Filed October 29, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,240,896	Reported balance After 2004-10-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-10-28 · Sale · Disposed 1,000,000 · Balance 2,240,896
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.44 · Expires 2012-12-03	IndirectSee Footnote	60,000	Reported balance Holding disclosure · report date 2004-10-28 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 60,000 F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $34.34 · Expires 2014-05-12	IndirectSee Footnote	20,000	Reported balance Holding disclosure · report date 2004-10-28 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 20,000 F2: These options will become exercisable on June 12, 2004. They will vest in 48 monthly installments. F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.

Filing footnotes · ownership attribution and instrument terms

F1: These options were granted to Damion Wicker and Srinivas Akkaraju, directors of the Issuer. Mr. Wicker is Managing Director of JPMP Capital Corp., the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"). Mr. Akkaraju is a Principal at J.P. Morgan Partners, LLC and a limited partner of MF Manager. Mr. Wicker and Mr. Akkaraju are obligated to transfer any shares issued under the stock option to JPM BHCA.

F2: These options will become exercisable on June 12, 2004. They will vest in 48 monthly installments.

HUDSON TECHNOLOGIES INC /NY

Report date March 31, 2004 · Filed April 02, 2004

Jointly reported with FLEMING US DISCOVERY FUND III LP, FLEMING US DISCOVERY OFFSHORE FUND III L P, FLEMING US DISCOVERY PARTNERS LP, FLEMING US DISCOVERY LLC, JPMP CAPITAL LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	19,137,449	Reported balance After 2004-03-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-03-31 · Conversion · Acquired 16,397,468 · Balance 19,137,449 F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79	IndirectSee footnotes	129,540	Reported balance After 2004-03-31 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2004-03-31 · Other · Acquired 4,454 · Balance 129,540 F8: On March 31, 2004, the Issuer paid in kind the following dividends in the form of an aggregate of 4,454 shares of Series A Preferred, in accordance with the terms of the Series A Preferred (x) to the US Fund, 3,839 shares of Series A Preferred and (y) to the Offshore Fund, 615 shares of Series A Preferred. F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock. F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time. F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.79	IndirectSee footnotes	0	Reported balance After 2004-03-31 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2004-03-31 · Conversion · Disposed 129,540 · Balance 0 F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock. F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time. F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Fleming US Discovery Fund III, LLC (the "US Fund") and Fleming Discovery Offshore Fund III, LLC (the "Offshore Fund"). In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 2, 3, 4 and 5 below). The US Fund, as Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein.

F2: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery Partners, L.P. ("Discovery Partners") because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery Partners is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund.

F3: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to Fleming US Discovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund.

F4: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest.

F5: The amounts shown in Table I and Table II represent the beneficial ownership of the Issuer's equity securities by the US Fund and the Offshore Fund, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed to be attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

F6: As of the date hereof, the 129,540 shares of Series A Preferred are convertible at a conversion price of $0.79 per share into 16,397,468 shares of Common Stock.

F7: Note that shares of Series A Preferred are exercisable immediately upon issuance. Thus, the 129,540 shares of Series A Preferred were exercisable on their respective dates of issuance, as set forth in previous Section 16 filings. There is no expiration date for the conversion of the Series A Preferred; holders of the Series A Preferred are entitiled to convert the Series A Preferred into Common Stock at any time.

F8: On March 31, 2004, the Issuer paid in kind the following dividends in the form of an aggregate of 4,454 shares of Series A Preferred, in accordance with the terms of the Series A Preferred (x) to the US Fund, 3,839 shares of Series A Preferred and (y) to the Offshore Fund, 615 shares of Series A Preferred.

IMH Financial Corp

Report date October 24, 2019 · Filed October 28, 2019

Jointly reported with JPMorgan Chase Funding Inc.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series B-1 Cumulative Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	873,378	Reported balance After 2019-10-24 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-10-24 · Purchase · Acquired 873,378 · Balance 873,378 F1: The Series B-1 Cumulative Convertible Preferred Stock ("Series B-1 Preferred Stock") is convertible at any time into the Issuer's common stock, par value $0.01 per share ("Common Stock"). Each share of Series B-1 Preferred Stock is convertible, at the election of the holder, into a number of shares of Common Stock determined by dividing (i) the sum of (a) $3.2171 and (b) all accrued and unpaid dividends on such Series B-1 Preferred Stock by (ii) the then effective conversion price. Initially, each share of Series B-1 Preferred Stock is convertible into one share of Common Stock. The conversion price, and number of shares issuable upon conversion of Series B-1 Preferred Stock, are subject to adjustment as provided in the Second Amended and Restated Certificate of Designation of Series B-1 Cumulative Convertible Preferred Stock, Series B-2 Cumulative Convertible Preferred Stock and Series B-3 Cumulative Convertible Preferred Stock of the Issuer ("B-123 Certificate of Designation"). F2: Series B-1 Preferred Stock will automatically be converted into shares of Common Stock at the then effective conversion price upon the closing of a sale of shares of Common Stock at a price equal to or greater than two and a quarter times (2.25x) $3.2171 (subject to adjustment in accordance with B-123 Certificate of Designation), in a firm commitment underwritten public offering and listing of the Common Stock on a national securities exchange, pursuant to an effective registration statement under the Securities Act of 1933, as amended, resulting in at least $75,000,000 of gross proceeds to the Issuer. F3: The securities reported herein are directly owned by JPMorgan Chase Funding Inc., a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: The Series B-1 Cumulative Convertible Preferred Stock ("Series B-1 Preferred Stock") is convertible at any time into the Issuer's common stock, par value $0.01 per share ("Common Stock"). Each share of Series B-1 Preferred Stock is convertible, at the election of the holder, into a number of shares of Common Stock determined by dividing (i) the sum of (a) $3.2171 and (b) all accrued and unpaid dividends on such Series B-1 Preferred Stock by (ii) the then effective conversion price. Initially, each share of Series B-1 Preferred Stock is convertible into one share of Common Stock. The conversion price, and number of shares issuable upon conversion of Series B-1 Preferred Stock, are subject to adjustment as provided in the Second Amended and Restated Certificate of Designation of Series B-1 Cumulative Convertible Preferred Stock, Series B-2 Cumulative Convertible Preferred Stock and Series B-3 Cumulative Convertible Preferred Stock of the Issuer ("B-123 Certificate of Designation").

F2: Series B-1 Preferred Stock will automatically be converted into shares of Common Stock at the then effective conversion price upon the closing of a sale of shares of Common Stock at a price equal to or greater than two and a quarter times (2.25x) $3.2171 (subject to adjustment in accordance with B-123 Certificate of Designation), in a firm commitment underwritten public offering and listing of the Common Stock on a national securities exchange, pursuant to an effective registration statement under the Securities Act of 1933, as amended, resulting in at least $75,000,000 of gross proceeds to the Issuer.

F3: The securities reported herein are directly owned by JPMorgan Chase Funding Inc., a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, if any.

MYOGEN INC

Report date November 04, 2003 · Filed November 06, 2003

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Comon StockSEC Table I · non-derivative	IndirectSee Footnote	4,207,847	Reported balance After 2003-11-04 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2003-11-04 · Conversion · Acquired 4,207,847 · Balance 4,207,847 F1: The Issuer's preferred stock automatically converted into 0.2 shares of Common Stock upon the closing of the Issuer's initial public offering. The number of shares reflects the automatic conversion upon the closing of the initial public offering. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Securities Inc. ("JPMSI"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp, (the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the sole general partner of J.P. Morgan Partners (BHCA), L.P., which is the sole member of JPM SBIC) and the controlling parent of J.P. Morgan Securities Inc. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables including the internal rate of return and vesting of interests within MF Manager.
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2003-11-04 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2003-11-04 · Conversion · Disposed 21,039,243 · Balance 0 F1: The Issuer's preferred stock automatically converted into 0.2 shares of Common Stock upon the closing of the Issuer's initial public offering. The number of shares reflects the automatic conversion upon the closing of the initial public offering. F3: The Series D Preferred Stock has no expiration date. F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Securities Inc. ("JPMSI"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp, (the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the sole general partner of J.P. Morgan Partners (BHCA), L.P., which is the sole member of JPM SBIC) and the controlling parent of J.P. Morgan Securities Inc. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables including the internal rate of return and vesting of interests within MF Manager.

Filing footnotes · ownership attribution and instrument terms

F1: The Issuer's preferred stock automatically converted into 0.2 shares of Common Stock upon the closing of the Issuer's initial public offering. The number of shares reflects the automatic conversion upon the closing of the initial public offering.

F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Securities Inc. ("JPMSI"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corp, (the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the sole general partner of J.P. Morgan Partners (BHCA), L.P., which is the sole member of JPM SBIC) and the controlling parent of J.P. Morgan Securities Inc. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables including the internal rate of return and vesting of interests within MF Manager.

F3: The Series D Preferred Stock has no expiration date.

NUVEEN ARIZONA DIVIDEND ADVANTAGE MUNICIPAL FUND 2

Report date January 14, 2009 · Filed January 15, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Municipal Auction Rate Cumulative Preferred Shares Series WSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2009-01-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2009-01-14 · Sale · Disposed 96 · Balance 0 F1: Beneficial ownership of this position was acquired by J.P. Morgan Securities, Inc., a wholly-owned subsidiary of the reporting person.

Filing footnotes · ownership attribution and instrument terms

F1: Beneficial ownership of this position was acquired by J.P. Morgan Securities, Inc., a wholly-owned subsidiary of the reporting person.

OGLEBAY NORTON CO /OHIO/

Report date July 21, 2006 · Filed July 24, 2006

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01 per shareSEC Table I · non-derivative	IndirectSee Footnote	57,313	Reported balance After 2006-07-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2006-07-21 · Other · Acquired 22,199 · Balance 57,313 F1: The Issuer is engaged in a redemption of its Series A Convertible Preferred Shares and the holders of the Preferred Shares must elect by July 21, 2006 to either (1) convert a specified portion of its Preferred Shares into Common Stock at a set and announced conversion ratio or (2) receive an aggregate amount of cash equivalent to $13.52 per Preferred Share on the redemption date of July 28, 2006. The reporting person has elected, effective July 21, 2006, to convert its specified eligible Preferred Shares (18,060) into shares of Common Stock at the announced conversion ratio of 1.2292 shares of Common Stock per Series A Convertible Preferred Share. F3: Beneficial ownership of this position was acquired by J.P. Morgan Ventures Corporation, a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. expressly disclaims beneficial ownership of such shares except to the extent of its respective pecuniary interest in such shares.
Series A Convt Preferred Shares,par value $0.01 per shareSEC Table II · derivative / convertible security · Expires 2049-12-31	IndirectSee Footnote	369,373	Reported balance After 2006-07-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2006-07-21 · Conversion · Disposed 18,060 · Balance 369,373 F2: The Series A Convertible Preferred Shares of the Issuer are convertible at the option of the reporting person into shares of Common Stock at an initial ratio of one Preferred Share into one share of Common Stock, which ratio increases pursuant to the terms of the Preferred Shares over time to the current ratio of 1.2292 shares of Common Stock per Preferred Share for the conversion described in footnote 1 above. F1: The Issuer is engaged in a redemption of its Series A Convertible Preferred Shares and the holders of the Preferred Shares must elect by July 21, 2006 to either (1) convert a specified portion of its Preferred Shares into Common Stock at a set and announced conversion ratio or (2) receive an aggregate amount of cash equivalent to $13.52 per Preferred Share on the redemption date of July 28, 2006. The reporting person has elected, effective July 21, 2006, to convert its specified eligible Preferred Shares (18,060) into shares of Common Stock at the announced conversion ratio of 1.2292 shares of Common Stock per Series A Convertible Preferred Share. F3: Beneficial ownership of this position was acquired by J.P. Morgan Ventures Corporation, a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. expressly disclaims beneficial ownership of such shares except to the extent of its respective pecuniary interest in such shares.

Filing footnotes · ownership attribution and instrument terms

F1: The Issuer is engaged in a redemption of its Series A Convertible Preferred Shares and the holders of the Preferred Shares must elect by July 21, 2006 to either (1) convert a specified portion of its Preferred Shares into Common Stock at a set and announced conversion ratio or (2) receive an aggregate amount of cash equivalent to $13.52 per Preferred Share on the redemption date of July 28, 2006. The reporting person has elected, effective July 21, 2006, to convert its specified eligible Preferred Shares (18,060) into shares of Common Stock at the announced conversion ratio of 1.2292 shares of Common Stock per Series A Convertible Preferred Share.

F2: The Series A Convertible Preferred Shares of the Issuer are convertible at the option of the reporting person into shares of Common Stock at an initial ratio of one Preferred Share into one share of Common Stock, which ratio increases pursuant to the terms of the Preferred Shares over time to the current ratio of 1.2292 shares of Common Stock per Preferred Share for the conversion described in footnote 1 above.

F3: Beneficial ownership of this position was acquired by J.P. Morgan Ventures Corporation, a wholly owned subsidiary of JPMorgan Chase & Co. JPMorgan Chase & Co. expressly disclaims beneficial ownership of such shares except to the extent of its respective pecuniary interest in such shares.

ONEIDA LTD

Report date August 09, 2004 · Filed August 19, 2004

Jointly reported with JP MORGAN CHASE BANK

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	7,378,612	Reported balance Holding disclosure · report date 2004-08-09 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 7,378,612 F1: Beneficial ownership of the reported shares was acquired by JPMorgan Chase Bank, a wholly owned subsidiary of JPMorgan Chase & Co., in connection with the financial restructuring of the Issuer. Such shares were acquired in exchange for a previously contracted debt. JPMorgan Chase & Co. disclaims beneficial ownership of the reported shares. The Reporting Person and certain other stockholders (the "Other Stockholders") which received Common Stock in connection with the restructuring may be deemed a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Act"), due to their one-time right to approve certain members of the Board of Directors of the Issuer. F2: The Reporting Person disclaims beneficial ownership of, and the filing of this Form 3 shall not be construed as an admission that the Reporting Person is the beneficial owner of, or have any pecuniary interest in, any shares of the Issuer issued to, and held by, the Other Stockholders in connection with the restructuring, for the purposes of Rule 16a-1 under the Act or for any other purpose, and such shares are not included in the reported amount.

Filing footnotes · ownership attribution and instrument terms

F1: Beneficial ownership of the reported shares was acquired by JPMorgan Chase Bank, a wholly owned subsidiary of JPMorgan Chase & Co., in connection with the financial restructuring of the Issuer. Such shares were acquired in exchange for a previously contracted debt. JPMorgan Chase & Co. disclaims beneficial ownership of the reported shares. The Reporting Person and certain other stockholders (the "Other Stockholders") which received Common Stock in connection with the restructuring may be deemed a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended (the "Act"), due to their one-time right to approve certain members of the Board of Directors of the Issuer.

F2: The Reporting Person disclaims beneficial ownership of, and the filing of this Form 3 shall not be construed as an admission that the Reporting Person is the beneficial owner of, or have any pecuniary interest in, any shares of the Issuer issued to, and held by, the Other Stockholders in connection with the restructuring, for the purposes of Rule 16a-1 under the Act or for any other purpose, and such shares are not included in the reported amount.

PortalPlayer, Inc.

Report date December 31, 2004 · Filed January 04, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,560,225	Reported balance After 2004-12-31 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-31 · Sale · Disposed 86,322 · Balance 2,560,225
Common StockSEC Table I · non-derivative	IndirectSee footnote	86,322	Reported balance After 2004-12-31 transaction · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · 2004-12-31 · Purchase · Acquired 86,322 · Balance 86,322 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	229,704	Reported balance Holding disclosure · report date 2004-12-31 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 229,704 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	31,313	Reported balance Holding disclosure · report date 2004-12-31 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 31,313 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	116,587	Reported balance Holding disclosure · report date 2004-12-31 · row 4 Holding and transaction disclosures are not merged. 1 source row Row 4 · Balance 116,587 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman").
Common StockSEC Table I · non-derivative	IndirectSee footnote	12,992	Reported balance Holding disclosure · report date 2004-12-31 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 12,992 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II").

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P. ("Cayman").

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P. ("Cayman II").

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

Ribbon Communications Inc.

Report date April 09, 2025 · Filed April 11, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectThrough Subsidiary	52,036,586	Reported balance After 2025-04-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-04-09 · Purchase · Acquired 14 · Balance 52,036,586
Common StockSEC Table I · non-derivative	IndirectThrough Subsidiary	52,036,572	Reported balance After 2025-04-09 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2025-04-09 · Sale · Disposed 14 · Balance 52,036,572

SANTARUS INC

Report date June 09, 2005 · Filed June 13, 2005

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN SBIC LLC, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC, JP MORGAN PARTNERS GLOBAL INVESTORS SELLDOWN LLP

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.00 · Expires 2005-06-09	IndirectSee footnote	17,500	Reported balance After 2005-06-09 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2005-06-09 · Grant · Acquired 17,500 · Balance 17,500 F6: One-twelfth of the options vest monthly commencing 06/09/05. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.05 · Expires 2011-12-18	IndirectSee footnote	4,285	Reported balance Holding disclosure · report date 2005-06-09 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 4,285 F3: These options are fully vested. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2013-07-30	IndirectSee footnote	4,285	Reported balance Holding disclosure · report date 2005-06-09 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 4,285 F3: These options are fully vested. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2013-12-03	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2005-06-09 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 10,000 F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.00 · Expires 2014-04-01	IndirectSee footnote	25,000	Reported balance Holding disclosure · report date 2005-06-09 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 25,000 F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2014-07-27	IndirectSee footnote	17,500	Reported balance Holding disclosure · report date 2005-06-09 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 17,500 F5: One-twelfth of the options vest monthly commencing 7/27/04. F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.
Common StockSEC Table I · non-derivative	Direct	2,400,206	Reported balance Holding disclosure · report date 2005-06-09 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,400,206
Common StockSEC Table I · non-derivative	IndirectSee footnote	241,479	Reported balance Holding disclosure · report date 2005-06-09 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 241,479 F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Global Investors (SBIC), LLC ("JPM Global SBIC").
Common StockSEC Table I · non-derivative	IndirectSee footnote	151,982	Reported balance Holding disclosure · report date 2005-06-09 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 151,982 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Global Investors (SBIC), LLC ("JPM Global SBIC").

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F3: These options are fully vested.

F4: These options were granted to Rodney A. Ferguson, a director of the Issuer. Mr. Ferguson is a Managing Director of J.P. Morgan Partners (SBIC), LLC. Mr. Ferguson is obligated to transfer any shares issued under the option to JPM SBIC.

F5: One-twelfth of the options vest monthly commencing 7/27/04.

F6: One-twelfth of the options vest monthly commencing 06/09/05.

SAVVIS, Inc.

Report date June 03, 2005 · Filed June 13, 2005

Jointly reported with MONEYLINE TELERATE HOLDINGS, ONE EQUITY PARTNERS LLC, OEP CO INVESTORS LLC, OEP HOLDING CORP, BANK ONE INVESTMENT CORP, JP Morgan Capital CORP, Banc One Financial LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A Convertible Redeemable Preferred StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2005-06-03 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: On June 3, 2005, Moneyline Telerate Holdings, Inc. sold certain businesses and operations to subsidiaries of Reuters Group PLC for consideration consisting of $145 million in cash, subject to adjustment, and 40,870 shares of Series A Convertible Preferred Stock of the Issuer. F2: The Series A convertible preferred stock accrues dividends at the rate of 11.5% per annum, and accrued dividends compound quarterly. Each share of Series A convertible preferred stock is convertible at the holder's option into a whole number of shares of common stock which is equal to the accreted value of the share plus all accrued and unpaid dividends on the share through the conversion date divided by the conversion price, which initially is $0.75 per share. F3: The Series A Convertible Preferred Stock is redeemable by the Issuer on or after March 18, 2010.

Filing footnotes · ownership attribution and instrument terms

F1: On June 3, 2005, Moneyline Telerate Holdings, Inc. sold certain businesses and operations to subsidiaries of Reuters Group PLC for consideration consisting of $145 million in cash, subject to adjustment, and 40,870 shares of Series A Convertible Preferred Stock of the Issuer.

F2: The Series A convertible preferred stock accrues dividends at the rate of 11.5% per annum, and accrued dividends compound quarterly. Each share of Series A convertible preferred stock is convertible at the holder's option into a whole number of shares of common stock which is equal to the accreted value of the share plus all accrued and unpaid dividends on the share through the conversion date divided by the conversion price, which initially is $0.75 per share.

F3: The Series A Convertible Preferred Stock is redeemable by the Issuer on or after March 18, 2010.

Seagen Inc.

Report date December 30, 2004 · Filed January 04, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	Direct	601,925	Reported balance After 2004-12-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2004-12-30 · Sale · Disposed 38,114 · Balance 601,925
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	381,140	Reported balance After 2004-12-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2004-12-30 · Purchase · Acquired 38,114 · Balance 381,140 F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	101,421	Reported balance Holding disclosure · report date 2004-12-30 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 101,421 F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	13,826	Reported balance Holding disclosure · report date 2004-12-30 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 13,826 F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	51,478	Reported balance Holding disclosure · report date 2004-12-30 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 51,478 F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.25 · Expires 2011-12-31	IndirectSee footnote	5,736	Reported balance Holding disclosure · report date 2004-12-30 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 5,736 F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	Direct	4,815,400	Reported balance After 2004-12-30 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2004-12-30 · Sale · Disposed 30,491 · Balance 4,815,400 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	304,910	Reported balance After 2004-12-30 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2004-12-30 · Purchase · Acquired 30,491 · Balance 304,910 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	811,370	Reported balance Holding disclosure · report date 2004-12-30 · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · Balance 811,370 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	110,610	Reported balance Holding disclosure · report date 2004-12-30 · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · Balance 110,610 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	411,820	Reported balance Holding disclosure · report date 2004-12-30 · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · Balance 411,820 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $2.50	IndirectSee footnote	45,890	Reported balance Holding disclosure · report date 2004-12-30 · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · Balance 45,890 F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted. F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire. F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Stock Options (Right to Purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.26 · Expires 2014-05-16	IndirectSee footnote	10,000	Reported balance Holding disclosure · report date 2004-12-30 · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · Balance 10,000 F8: These options were granted to Srinivas Akkaraju, a director of the Issuer. Mr. Akkaraju is obligated to transfer any shares issued under the Stock Option to J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") at the request of JPM BHCA.

Filing footnotes · ownership attribution and instrument terms

F1: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: The amount shown represents the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Selldown), L.P.

F6: The conversion price of the Series A Convertible Preferred Stock is equal to the initial purchase price divided by $2.50, as adjusted for stock splits, stock dividends, combinations and other similar capitalizations of the Issuer's Common and Preferred Stock. Initially this results in a 1 for 10 conversion ratio. Each share of Series A Convertible Preferred Stock is entitled to 0.93 votes for each share of Common Stock into which such share of Convertible Preferred Stock could then be converted.

F7: All outstanding shares of the Issuer's Series A Convertible Preferred Stock are convertible at the holder's option into shares of the Issuer's Common Stock on a 10 to 1 basis any time after July 8, 2004. This right to convert does not expire.

F8: These options were granted to Srinivas Akkaraju, a director of the Issuer. Mr. Akkaraju is obligated to transfer any shares issued under the Stock Option to J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") at the request of JPM BHCA.

TRITON PCS HOLDINGS INC

Report date May 25, 2004 · Filed May 27, 2004

Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, J P MORGAN PARTNERS 23A SBIC MANAGER INC, JP MORGAN CHASE BANK

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	Direct	9,082,907	Reported balance After 2004-05-25 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-05-25 · Grant · Acquired 45,000 · Balance 9,082,907 F1: These shares of Class A Common Stock were granted to Arnold L. Chavkin, a director of the Issuer pursuant to a Director Stock Award Agreement by and between Triton PCS Holdings, Inc. and Arnold L. Chavkin dated as of May 25, 2004. The Stock Award vests in three equal annual installments, commencing August 15, 2004. Arnold L. Chavkin is obligated to transfer these shares to the Reporting Person, at the request of the Reporting Person.
Class B Common StockSEC Table II · derivative / convertible security	IndirectSee Footnote	7,926,099	Reported balance Holding disclosure · report date 2004-05-25 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 7,926,099 F2: These shares of Class B Common Stock are convertible on a one for one basis. F3: These shares of Class B Common Stock are convertible into Class A Common Stock either (i) when it is transferred to anyone other than J.P. Morgan SBIC, LLC or any of its affiliates or (ii) upon receipt by the Company of a written opinion of Counsel to the effect that the holder of the stock should not be considered an affiliate of the Issuer as defined by Rule 405 of the Securities Act of 1933 after giving effect to the conversion. F4: The right to convert does not expire. F5: These shares of Class B Common Stock are beneficially owned by J.P. Morgan SBIC, LLC, an affiliate of the Reporting Person. As a result of the merger of J.P. Morgan Incorporated and The Chase Manhattan Corporation on December 31, 2000, The Chase Manhattan Corporation (now known as J.P. Morgan Chase & Co.) acquired J.P. Morgan Capital Corporation, the indirect owner of these securities. Neither the Reporting Person nor any of its ultimate security holders other than J.P. Morgan Chase & Co. has a beneficial ownership of, or a pecuniary interest in, the securities owned by J.P. Morgan SBIC, LLC.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of Class A Common Stock were granted to Arnold L. Chavkin, a director of the Issuer pursuant to a Director Stock Award Agreement by and between Triton PCS Holdings, Inc. and Arnold L. Chavkin dated as of May 25, 2004. The Stock Award vests in three equal annual installments, commencing August 15, 2004. Arnold L. Chavkin is obligated to transfer these shares to the Reporting Person, at the request of the Reporting Person.

F2: These shares of Class B Common Stock are convertible on a one for one basis.

F3: These shares of Class B Common Stock are convertible into Class A Common Stock either (i) when it is transferred to anyone other than J.P. Morgan SBIC, LLC or any of its affiliates or (ii) upon receipt by the Company of a written opinion of Counsel to the effect that the holder of the stock should not be considered an affiliate of the Issuer as defined by Rule 405 of the Securities Act of 1933 after giving effect to the conversion.

F4: The right to convert does not expire.

F5: These shares of Class B Common Stock are beneficially owned by J.P. Morgan SBIC, LLC, an affiliate of the Reporting Person. As a result of the merger of J.P. Morgan Incorporated and The Chase Manhattan Corporation on December 31, 2000, The Chase Manhattan Corporation (now known as J.P. Morgan Chase & Co.) acquired J.P. Morgan Capital Corporation, the indirect owner of these securities. Neither the Reporting Person nor any of its ultimate security holders other than J.P. Morgan Chase & Co. has a beneficial ownership of, or a pecuniary interest in, the securities owned by J.P. Morgan SBIC, LLC.

Triangle Petroleum Corp

Report date October 19, 2017 · Filed October 30, 2017

Jointly reported with J.P. Morgan Securities LLC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,613	Reported balance Holding disclosure · report date 2017-10-19 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,613 F1: Before J.P. Morgan Securities LLC ("JPM") became subject to Section 16, JPM effected a short sale of 1 share of common stock and borrowed shares from an unaffiliated broker for delivery against the sale. The short position remains open, and therefore JPM is obligated to deliver 1 share of common stock to the lender in repayment of the stock loan.
5% Convertible Promissory NotesSEC Table II · derivative / convertible security · Conversion / exercise price $8.00	IndirectThrough Subsidiary	Not disclosed	Reported balance Holding disclosure · report date 2017-10-19 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: On October 19, 2017, JPM acquired all of the outstanding convertible notes (the "Convertible Notes") of Triangle Petroleum Corporation ("Triangle") initially issued on July 31, 2012, which are convertible at any time and from time to time into shares of common stock of Triangle (the "Common Stock") at an initial conversion price of $8.00 per share (subject to customary adjustments for stock splits and recapitalizations). The Convertible Notes accrue interest at a rate of 5% per annum, compounded quarterly, to be paid on each December 31, March 31, June 30 and September 30, and on the date of any redemption, conversion or exchange of the Convertible Notes. F3: (continued from footnote 1) Such interest payments are to be paid in kind by adding the accrued interest to the principal balance of the Convertible Notes; provided, that, following July 31, 2017, Triangle has the option to make such interest payments in cash. Accordingly, as of September 30, 2017 the aggregate principal amount of Convertible Notes was $160,149,378.19. Based on an initial conversion price of $8.00 per share, $160,149,378.19 in principal amount of Convertible Notes would be convertible into 20,018,672 shares of Common Stock. F4: The Convertible Notes do not have an expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: Before J.P. Morgan Securities LLC ("JPM") became subject to Section 16, JPM effected a short sale of 1 share of common stock and borrowed shares from an unaffiliated broker for delivery against the sale. The short position remains open, and therefore JPM is obligated to deliver 1 share of common stock to the lender in repayment of the stock loan.

F2: On October 19, 2017, JPM acquired all of the outstanding convertible notes (the "Convertible Notes") of Triangle Petroleum Corporation ("Triangle") initially issued on July 31, 2012, which are convertible at any time and from time to time into shares of common stock of Triangle (the "Common Stock") at an initial conversion price of $8.00 per share (subject to customary adjustments for stock splits and recapitalizations). The Convertible Notes accrue interest at a rate of 5% per annum, compounded quarterly, to be paid on each December 31, March 31, June 30 and September 30, and on the date of any redemption, conversion or exchange of the Convertible Notes.

F3: (continued from footnote 1) Such interest payments are to be paid in kind by adding the accrued interest to the principal balance of the Convertible Notes; provided, that, following July 31, 2017, Triangle has the option to make such interest payments in cash. Accordingly, as of September 30, 2017 the aggregate principal amount of Convertible Notes was $160,149,378.19. Based on an initial conversion price of $8.00 per share, $160,149,378.19 in principal amount of Convertible Notes would be convertible into 20,018,672 shares of Common Stock.

F4: The Convertible Notes do not have an expiration date.

Past disclosures · reporting ended (28)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ALPHARMA INC

Report date July 31, 2008 · Filed August 22, 2008 · Amendment

Section 16 reporting ended · disclosed 2008-08-22. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01/shareSEC Table I · non-derivative	IndirectSee Footnote	4,213,752	Reported balance After 2008-08-12 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2008-08-12 · Sale · Disposed 50 · Balance 4,213,752 F1: This Form 4 amends the Form 4 previously filed by JPMorgan Chase & Co. on 8/22/08 by correcting the 8/12/08 trade price from $24.85 to $24.65.
Common Stock, par value $0.01/shareSEC Table I · non-derivative	IndirectSee Footnote	4,205,422	Reported balance After 2008-08-18 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2008-08-18 · Sale · Disposed 8,300 · Balance 4,205,422 F2: This Form 4 amends the Form 4 previously filed by JPMorgan Chase & Co. on 8/22/08 by correcting the 8/18/08 trade from Acquired ("A") to Disposed of ("D").

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 amends the Form 4 previously filed by JPMorgan Chase & Co. on 8/22/08 by correcting the 8/12/08 trade price from $24.85 to $24.65.

F2: This Form 4 amends the Form 4 previously filed by JPMorgan Chase & Co. on 8/22/08 by correcting the 8/18/08 trade from Acquired ("A") to Disposed of ("D").

AXIS CAPITAL HOLDINGS LTD

Report date July 01, 2003 · Filed July 03, 2003

Section 16 reporting ended · disclosed 2003-07-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	14,815,536	Reported balance After 2003-07-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2003-07-01 · Sale · Disposed 1,190,840 · Balance 14,815,536 F1: The Reporting Person beneficially owns equity securities of the Issuer indirectly through wholly owned entities, either directly or indirectly. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein. These entities sold common shares of the Issuer. The following sets forth the applicable selling entity and the aggregate amount of common shares sold by such entity: J.P. Morgan Partners (BHCA), L.P. - 633,360 shares; J.P. Morgan Partners Global Investors, L.P. - 3,039 shares; J.P. Morgan Partners Global Investors A, L.P. - 10,129 shares; J.P. Morgan Partners Global Investors (Cayman), L.P. - 50,919 shares; J.P. Morgan Partners Global Investors (Cayman) II, L.P. - 5,674 shares; J.P. Morgan Partners Global Investors (Cayman) III, L.P. - 57,889 shares; J.P. Morgan Partners Global Investors (Cayman) IV, L.P. - 42,962 shares; J.P. Morgan Partners Capital, L.P. - 88,979 shares; and J.P. Morgan Partners Corsair II Offshore Capital Partners, L.P. - 297,889 shares.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person beneficially owns equity securities of the Issuer indirectly through wholly owned entities, either directly or indirectly. The Reporting Person disclaims beneficial ownership in the securities to the extent it exceeds its pecuniary interest therein. These entities sold common shares of the Issuer. The following sets forth the applicable selling entity and the aggregate amount of common shares sold by such entity: J.P. Morgan Partners (BHCA), L.P. - 633,360 shares; J.P. Morgan Partners Global Investors, L.P. - 3,039 shares; J.P. Morgan Partners Global Investors A, L.P. - 10,129 shares; J.P. Morgan Partners Global Investors (Cayman), L.P. - 50,919 shares; J.P. Morgan Partners Global Investors (Cayman) II, L.P. - 5,674 shares; J.P. Morgan Partners Global Investors (Cayman) III, L.P. - 57,889 shares; J.P. Morgan Partners Global Investors (Cayman) IV, L.P. - 42,962 shares; J.P. Morgan Partners Capital, L.P. - 88,979 shares; and J.P. Morgan Partners Corsair II Offshore Capital Partners, L.P. - 297,889 shares.

BLACKROCK INVESTMENT QUALITY MUNICIPAL TRUST, INC.

Report date February 23, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-23 · Other · Disposed 678 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 678 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of Series W-7B Variable Rate Demand Preferred Shares of MQY in a cashless transaction. The 678 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 678 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of Series W-7B Variable Rate Demand Preferred Shares of MQY in a cashless transaction. The 678 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNICIPAL INCOME QUALITY TRUST

Report date February 09, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-09 · Other · Disposed 976 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 976 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 976 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 976 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 976 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNICIPAL INCOME TRUST

Report date February 09, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-09 · Other · Disposed 1,541 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 1,541 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 1,541 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 1,541 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 1,541 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNICIPAL INCOME TRUST II

Report date February 09, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-09 · Other · Disposed 1,741 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 1,741 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 1,741 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 1,741 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 1,741 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNIHOLDINGS QUALITY FUND II, INC.

Report date February 09, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-09 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-09 · Other · Disposed 780 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 780 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 780 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniHoldings Fund, Inc. ("MHD"), 780 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of VMTP Shares of MHD in a cashless transaction. The 780 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNIVEST FUND II, INC.

Report date February 19, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-19 · Sale · Disposed 777 · Balance 0 F1: The variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares in an open market transaction for a price of $100,173.1232819 per share. The 777 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares in an open market transaction for a price of $100,173.1232819 per share. The 777 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNIVEST FUND, INC.

Report date February 19, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-19 · Sale · Disposed 1,536 · Balance 0 F1: The variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares in an open market transaction for a price of $100,173.1232878 per share. The 1,536 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The variable rate muni term preferred shares reported as disposed of in Table I (the "VMTP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VMTP Shares were disposed of as a result of a sale of the VMTP Shares in an open market transaction for a price of $100,173.1232878 per share. The 1,536 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNIYIELD QUALITY FUND II, INC.

Report date February 23, 2026 · Filed February 27, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-02-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7 Variable Rate Muni Term Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-23 · Other · Disposed 786 · Balance 0 F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 786 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of Series W-7B Variable Rate Demand Preferred Shares of MQY in a cashless transaction. The 786 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the reorganization of the Issuer into BlackRock MuniYield Quality Fund, Inc. ("MQY"), 786 Series W-7 Variable Rate Muni Term Preferred Shares ("VMTP Shares") of the Issuer beneficially owned by DNT Asset Trust ("DNT Trust") were exchanged for an equal number of Series W-7B Variable Rate Demand Preferred Shares of MQY in a cashless transaction. The 786 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

BLACKROCK MUNIYIELD QUALITY FUND, INC.

Report date February 23, 2026 · Filed March 03, 2026

Jointly reported with DNT Asset Trust

Section 16 reporting ended · disclosed 2026-03-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series W-7B Variable Rate Demand Preferred SharesSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-02-23 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-23 · Sale · Disposed 1,464 · Balance 0 F1: The variable rate demand preferred shares reported as disposed of in Table I (the "VRDP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VRDP Shares were disposed of as a result of a sale of the VRDP Shares in an open market transaction for a price of $100,000 per share. The 1,464 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust. F2: This statement is jointly filed by JPMorgan Chase & Co. and DNT Trust. JPMorgan Chase & Co. holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of its subsidiary DNT Trust. F3: Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The variable rate demand preferred shares reported as disposed of in Table I (the "VRDP Shares") represent shares that were beneficially owned by DNT Asset Trust ("DNT Trust"). The VRDP Shares were disposed of as a result of a sale of the VRDP Shares in an open market transaction for a price of $100,000 per share. The 1,464 shares reported as disposed of in Table I represent shares that were beneficially owned by DNT Trust.

CARRIZO OIL & GAS INC

Report date October 04, 2004 · Filed October 06, 2004

Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, J P MORGAN PARTNERS 23A SBIC MANAGER INC, JP MORGAN CHASE BANK

Section 16 reporting ended · disclosed 2004-10-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,094,431	Reported balance After 2004-10-04 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-10-04 · Sale · Disposed 2,500 · Balance 2,094,431
Common StockSEC Table I · non-derivative	Direct	1,312,626	Reported balance After 2004-10-04 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-10-04 · Sale · Disposed 781,805 · Balance 1,312,626
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.78 · Expires 2012-05-22	IndirectSee Footnote	4,167	Reported balance After 2004-07-15 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2004-07-15 · Other · Disposed 833 · Balance 4,167 F5: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 1,666 of the stock options granted to him are currently exercisable. The remaining 833 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 22, 2003. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.75 · Expires 2013-05-26	IndirectSee Footnote	3,333	Reported balance After 2004-07-15 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2004-07-15 · Other · Disposed 1,667 · Balance 3,333 F6: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 833 of the stock options granted to him are currently exercisable. The remaining 1, 667 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 27, 2004. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled tock options to JPM 23A SBIC.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $9.22 · Expires 2014-06-08	IndirectSee Footnote	3,500	Reported balance After 2004-07-15 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2004-07-15 · Other · Disposed 3,500 · Balance 3,500 F7: 3,500 stock options were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004; all of these options were cancelled at such time. These options become exercisable in three annual installments commencing June 9, 2005. Mr. Martin is obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2009-12-15	IndirectSee Footnote	16,667	Reported balance Holding disclosure · report date 2004-10-04 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance 16,667 F1: These stock options were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Messrs. Chavkin and Behrens are Chief Executive Officer and Managing Director, respectively, of J.P. Morgan Partners (23A SBIC Manager), Inc., the general partner of J.P. Morgan Partners (23A SBIC), L.P. ("JPM 23A SBIC"). Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 6,667 of the stock options granted to him are currently exercisable. Mr. Behrens' options became exercisable in three annual installments commencing December 15, 2000. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.17 · Expires 2010-05-19	IndirectSee Footnote	3,333	Reported balance Holding disclosure · report date 2004-10-04 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance 3,333 F2: These stock options each were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 833 of the stock options granted to him are currently exercisable. Mr. Behrens' options become exercisable in three annual installments commencing May 19, 2001. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.40 · Expires 2011-05-17	IndirectSee Footnote	2,500	Reported balance Holding disclosure · report date 2004-10-04 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance 2,500 F3: These stock options were granted to Christopher Behrens, a director of the Issuer. Mr. Behrens is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing May 18, 2002.
Stock Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $5.36 · Expires 2012-03-27	IndirectSee Footnote	10,000	Reported balance Holding disclosure · report date 2004-10-04 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 10,000 F4: These options were granted to Bryan Martin, a director of the Issuer. Mr. Martin is a Principal of J.P. Morgan Partners, LLC, the investment advisor to J.P. Morgan Partners (23A SBIC), L.P. Mr. Martin is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing March 27, 2003.

Filing footnotes · ownership attribution and instrument terms

F1: These stock options were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Messrs. Chavkin and Behrens are Chief Executive Officer and Managing Director, respectively, of J.P. Morgan Partners (23A SBIC Manager), Inc., the general partner of J.P. Morgan Partners (23A SBIC), L.P. ("JPM 23A SBIC"). Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 6,667 of the stock options granted to him are currently exercisable. Mr. Behrens' options became exercisable in three annual installments commencing December 15, 2000. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.

F2: These stock options each were granted to Arnold Chavkin and Christopher Behrens, directors of the Issuer. Mr. Chavkin ceased to be a director of the Issuer on March 11, 2002. 833 of the stock options granted to him are currently exercisable. Mr. Behrens' options become exercisable in three annual installments commencing May 19, 2001. Mr. Chavkin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.

F3: These stock options were granted to Christopher Behrens, a director of the Issuer. Mr. Behrens is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing May 18, 2002.

F4: These options were granted to Bryan Martin, a director of the Issuer. Mr. Martin is a Principal of J.P. Morgan Partners, LLC, the investment advisor to J.P. Morgan Partners (23A SBIC), L.P. Mr. Martin is obligated to transfer any shares issued under his stock options to JPM 23A SBIC. These options became exercisable in three annual installments commencing March 27, 2003.

F5: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 1,666 of the stock options granted to him are currently exercisable. The remaining 833 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 22, 2003. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.

F6: 2,500 stock options each were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004. 833 of the stock options granted to him are currently exercisable. The remaining 1, 667 options belonging to Mr. Behrens were cancelled upon his resignation. These options became exercisable in three annual installments commencing May 27, 2004. Mr. Martin and Mr. Behrens are obligated to transfer any shares issued under uncancelled tock options to JPM 23A SBIC.

F7: 3,500 stock options were granted to Bryan Martin and Christopher Behrens, directors of the Issuer. Mr. Behrens ceased to be a director of the issuer on July 15, 2004; all of these options were cancelled at such time. These options become exercisable in three annual installments commencing June 9, 2005. Mr. Martin is obligated to transfer any shares issued under uncancelled stock options to JPM 23A SBIC.

CHINDEX INTERNATIONAL INC

Report date December 31, 2012 · Filed October 02, 2014

Section 16 reporting ended · disclosed 2014-10-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectSee Footnote	907	Reported balance After 2014-09-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2014-09-30 · Sale · Disposed 2,543,472 · Balance 907 F1: This sale resulted in the Reporting Person no long beneficially owning greater than 10% of the Issuer's outstanding securities. F2: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: This sale resulted in the Reporting Person no long beneficially owning greater than 10% of the Issuer's outstanding securities.

F2: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person.

DJ ORTHOPEDICS INC

Report date June 08, 2004 · Filed June 10, 2004

Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, J P MORGAN PARTNERS 23A SBIC MANAGER INC, JP MORGAN CHASE BANK, JP MORGAN PARTNERS DJ PARTNERS LLC

Section 16 reporting ended · disclosed 2004-06-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	0	Reported balance After 2004-06-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-06-08 · Sale · Disposed 2,993,880 · Balance 0 F1: See Exhibit 99.1 F2: See Exhibit 99.1
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2004-06-08 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-06-08 · Sale · Disposed 78,499 · Balance 0 F2: See Exhibit 99.1

Filing footnotes · ownership attribution and instrument terms

F1: See Exhibit 99.1

F2: See Exhibit 99.1

ENCORE ACQUISITION CO

Report date November 19, 2003 · Filed November 19, 2003

Section 16 reporting ended · disclosed 2003-11-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirect(FN 2)	866,643	Reported balance After 2003-11-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2003-11-19 · Sale · Disposed 6,000,000 · Balance 866,643 F1: The reported securities were sold pursuant to a Stock Purchase Agreement, dated as of November 13, 2003, by and among Encore Acquisition Company ("EAC"), J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and Warburg, Pincus Equity Partners, L.P. in connection with a public offering of EAC's shares of Common Stock. JPM SBIC sold 6,000,000 shares of EAC's Common Stock at a price per share of $19.3775 and was issued an over-allotment option for a further 866,643 shares of EAC's Common Stock. F2: The amounts shown in Table 1 represent the beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of (x) JPMP Capital Corp. which is the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), the sole member of JPM SBIC and (y) Chatham Ventures, Inc., the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rates of return and vesting of interests within JPM BHCA and MF Manager.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were sold pursuant to a Stock Purchase Agreement, dated as of November 13, 2003, by and among Encore Acquisition Company ("EAC"), J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and Warburg, Pincus Equity Partners, L.P. in connection with a public offering of EAC's shares of Common Stock. JPM SBIC sold 6,000,000 shares of EAC's Common Stock at a price per share of $19.3775 and was issued an over-allotment option for a further 866,643 shares of EAC's Common Stock.

F2: The amounts shown in Table 1 represent the beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of (x) JPMP Capital Corp. which is the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), the sole member of JPM SBIC and (y) Chatham Ventures, Inc., the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rates of return and vesting of interests within JPM BHCA and MF Manager.

GOODRICH PETROLEUM CORP

Report date August 22, 2017 · Filed August 23, 2017

Jointly reported with J.P. Morgan Securities LLC

Section 16 reporting ended · disclosed 2017-08-23. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

GUITAR CENTER INC

Report date August 11, 2003 · Filed January 07, 2004 · Amendment

Section 16 reporting ended · disclosed 2003-08-18. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2003-08-11 · Exercise / conversion · Acquired 5,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 2 Amendment: may correct only part of an earlier disclosure. 1 source row Row 2 · 2003-08-11 · Exercise / conversion · Acquired 5,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 3 Amendment: may correct only part of an earlier disclosure. 1 source row Row 3 · 2003-08-11 · Exercise / conversion · Acquired 5,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 4 Amendment: may correct only part of an earlier disclosure. 1 source row Row 4 · 2003-08-11 · Exercise / conversion · Acquired 1,966 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 5 Amendment: may correct only part of an earlier disclosure. 1 source row Row 5 · 2003-08-11 · Exercise / conversion · Acquired 1,839 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 6 Amendment: may correct only part of an earlier disclosure. 1 source row Row 6 · 2003-08-11 · Exercise / conversion · Acquired 2,032 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 7 Amendment: may correct only part of an earlier disclosure. 1 source row Row 7 · 2003-08-11 · Exercise / conversion · Acquired 1,610 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 8 Amendment: may correct only part of an earlier disclosure. 1 source row Row 8 · 2003-08-11 · Exercise / conversion · Acquired 1,667 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 9 Amendment: may correct only part of an earlier disclosure. 1 source row Row 9 · 2003-08-11 · Exercise / conversion · Acquired 1,667 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 10 Amendment: may correct only part of an earlier disclosure. 1 source row Row 10 · 2003-08-11 · Exercise / conversion · Acquired 1,386 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 11 Amendment: may correct only part of an earlier disclosure. 1 source row Row 11 · 2003-08-11 · Exercise / conversion · Acquired 1,334 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 12 Amendment: may correct only part of an earlier disclosure. 1 source row Row 12 · 2003-08-11 · Exercise / conversion · Acquired 4,004 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 13 Amendment: may correct only part of an earlier disclosure. 1 source row Row 13 · 2003-08-11 · Exercise / conversion · Acquired 1,178 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 14 Amendment: may correct only part of an earlier disclosure. 1 source row Row 14 · 2003-08-11 · Exercise / conversion · Acquired 1,035 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 15 Amendment: may correct only part of an earlier disclosure. 1 source row Row 15 · 2003-08-11 · Exercise / conversion · Acquired 856 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 16 Amendment: may correct only part of an earlier disclosure. 1 source row Row 16 · 2003-08-11 · Exercise / conversion · Acquired 2,334 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 17 Amendment: may correct only part of an earlier disclosure. 1 source row Row 17 · 2003-08-11 · Exercise / conversion · Acquired 4,824 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 18 Amendment: may correct only part of an earlier disclosure. 1 source row Row 18 · 2003-08-11 · Exercise / conversion · Acquired 873 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 19 Amendment: may correct only part of an earlier disclosure. 1 source row Row 19 · 2003-08-11 · Exercise / conversion · Acquired 720 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 20 Amendment: may correct only part of an earlier disclosure. 1 source row Row 20 · 2003-08-11 · Sale · Disposed 160,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 21 Amendment: may correct only part of an earlier disclosure. 1 source row Row 21 · 2003-08-11 · Sale · Disposed 155,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 22 Amendment: may correct only part of an earlier disclosure. 1 source row Row 22 · 2003-08-11 · Sale · Disposed 10,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 23 Amendment: may correct only part of an earlier disclosure. 1 source row Row 23 · 2003-08-11 · Sale · Disposed 20,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 24 Amendment: may correct only part of an earlier disclosure. 1 source row Row 24 · 2003-08-11 · Sale · Disposed 10,000 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Common StockSEC Table I · non-derivative	Indirectsee footnote	1,177,175	Reported balance After 2003-08-11 transaction · row 25 Amendment: may correct only part of an earlier disclosure. 1 source row Row 25 · 2003-08-11 · Sale · Disposed 62,576 · Balance 1,177,175 F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $28.56 · Expires 2008-05-06	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 26 Amendment: may correct only part of an earlier disclosure. 1 source row Row 26 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $28.56 · Expires 2008-05-06	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 27 Amendment: may correct only part of an earlier disclosure. 1 source row Row 27 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $28.56 · Expires 2008-05-06	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 28 Amendment: may correct only part of an earlier disclosure. 1 source row Row 28 · 2003-08-11 · Exercise / conversion · Disposed 1,666 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.44 · Expires 2009-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 29 Amendment: may correct only part of an earlier disclosure. 1 source row Row 29 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F3: These options became exercisable in three annual installments, commencing April 26, 2000, April 26, 2001 and April 26, 2002.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.44 · Expires 2009-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 30 Amendment: may correct only part of an earlier disclosure. 1 source row Row 30 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F3: These options became exercisable in three annual installments, commencing April 26, 2000, April 26, 2001 and April 26, 2002.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.44 · Expires 2009-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 31 Amendment: may correct only part of an earlier disclosure. 1 source row Row 31 · 2003-08-11 · Exercise / conversion · Disposed 1,666 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F3: These options became exercisable in three annual installments, commencing April 26, 2000, April 26, 2001 and April 26, 2002.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $13.56 · Expires 2010-05-02	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 32 Amendment: may correct only part of an earlier disclosure. 1 source row Row 32 · 2003-08-11 · Exercise / conversion · Disposed 5,000 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F4: These options became exercisable in three annual installments on May 2, 2001, May 2, 2002 and May 2, 2003.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $11.53 · Expires 2010-05-02	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 33 Amendment: may correct only part of an earlier disclosure. 1 source row Row 33 · 2003-08-11 · Exercise / conversion · Disposed 1,966 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $12.33 · Expires 2010-07-27	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 34 Amendment: may correct only part of an earlier disclosure. 1 source row Row 34 · 2003-08-11 · Exercise / conversion · Disposed 1,839 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $11.16 · Expires 2010-11-02	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 35 Amendment: may correct only part of an earlier disclosure. 1 source row Row 35 · 2003-08-11 · Exercise / conversion · Disposed 2,032 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.08 · Expires 2011-02-08	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 36 Amendment: may correct only part of an earlier disclosure. 1 source row Row 36 · 2003-08-11 · Exercise / conversion · Disposed 1,610 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $19.24 · Expires 2011-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 37 Amendment: may correct only part of an earlier disclosure. 1 source row Row 37 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $19.24 · Expires 2011-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 38 Amendment: may correct only part of an earlier disclosure. 1 source row Row 38 · 2003-08-11 · Exercise / conversion · Disposed 1,667 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.35 · Expires 2011-04-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 39 Amendment: may correct only part of an earlier disclosure. 1 source row Row 39 · 2003-08-11 · Exercise / conversion · Disposed 1,386 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.15 · Expires 2011-07-26	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 40 Amendment: may correct only part of an earlier disclosure. 1 source row Row 40 · 2003-08-11 · Exercise / conversion · Disposed 4,004 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.65 · Expires 2011-07-26	Indirectsee footnote	666	Reported balance After 2003-08-11 transaction · row 41 Amendment: may correct only part of an earlier disclosure. 1 source row Row 41 · 2003-08-11 · Exercise / conversion · Disposed 1,334 · Balance 666 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F5: These options become exercisable in three annual installments, commencing July 27, 2002, July 27, 2003 and July 27, 2004.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $12.02 · Expires 2011-10-25	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 42 Amendment: may correct only part of an earlier disclosure. 1 source row Row 42 · 2003-08-11 · Exercise / conversion · Disposed 1,178 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $13.69 · Expires 2012-02-22	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 43 Amendment: may correct only part of an earlier disclosure. 1 source row Row 43 · 2003-08-11 · Exercise / conversion · Disposed 1,035 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.55 · Expires 2012-05-03	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 44 Amendment: may correct only part of an earlier disclosure. 1 source row Row 44 · 2003-08-11 · Exercise / conversion · Disposed 856 · Balance 0 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $19.48 · Expires 2012-05-03	Indirectsee footnote	4,666	Reported balance After 2003-08-11 transaction · row 45 Amendment: may correct only part of an earlier disclosure. 1 source row Row 45 · 2003-08-11 · Exercise / conversion · Disposed 2,334 · Balance 4,666 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC. F6: These options become exercisable in three annual installments, commencing May 3, 2003, May 3, 2004 and May 3, 2005.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $14.68 · Expires 2012-07-30	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 46 Amendment: may correct only part of an earlier disclosure. 1 source row Row 46 · 2003-08-11 · Exercise / conversion · Disposed 4,824 · Balance 0 F6: These options become exercisable in three annual installments, commencing May 3, 2003, May 3, 2004 and May 3, 2005. F8: The amounts shown in rows 21-23 and 25 of Table II represent the direct beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of MF Manager, the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $16.23 · Expires 2012-11-07	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 47 Amendment: may correct only part of an earlier disclosure. 1 source row Row 47 · 2003-08-11 · Exercise / conversion · Disposed 873 · Balance 0 F8: The amounts shown in rows 21-23 and 25 of Table II represent the direct beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of MF Manager, the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $19.68 · Expires 2013-04-30	Indirectsee footnote	0	Reported balance After 2003-08-11 transaction · row 48 Amendment: may correct only part of an earlier disclosure. 1 source row Row 48 · 2003-08-11 · Exercise / conversion · Disposed 720 · Balance 0 F8: The amounts shown in rows 21-23 and 25 of Table II represent the direct beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of MF Manager, the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $19.24 · Expires 2011-04-26	Indirectsee footnote	1,666	Reported balance Holding disclosure · report date 2003-08-11 · row 49 Amendment: may correct only part of an earlier disclosure. 1 source row Row 49 · Balance 1,666 F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.
Stock Option (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $23.15 · Expires 2013-04-30	Indirectsee footnote	7,000	Reported balance Holding disclosure · report date 2003-08-11 · row 50 Amendment: may correct only part of an earlier disclosure. 1 source row Row 50 · Balance 7,000 F7: These options become exercisable in three annual installments, commencing May 3, 2004, May 3, 2005 and May 3, 2006. F8: The amounts shown in rows 21-23 and 25 of Table II represent the direct beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of MF Manager, the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the direct and indirect beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (SBIC), LLC ("JPM SBIC") and J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.

F2: The stock options were granted to Jeffrey Walker, a director of the Issuer, the President of JPM SBIC and a limited partner of JPMP Master Fund Manager, L.P., the general partner of JPM BHCA. Mr. Walker is obligated to exercise the options, and to transfer any shares issued under the stock options to JPM SBIC, at the request of JPM SBIC.

F3: These options became exercisable in three annual installments, commencing April 26, 2000, April 26, 2001 and April 26, 2002.

F4: These options became exercisable in three annual installments on May 2, 2001, May 2, 2002 and May 2, 2003.

F5: These options become exercisable in three annual installments, commencing July 27, 2002, July 27, 2003 and July 27, 2004.

F6: These options become exercisable in three annual installments, commencing May 3, 2003, May 3, 2004 and May 3, 2005.

F7: These options become exercisable in three annual installments, commencing May 3, 2004, May 3, 2005 and May 3, 2006.

F8: The amounts shown in rows 21-23 and 25 of Table II represent the direct beneficial ownership of the Issuer's equity securities by JPM SBIC, a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of JPMP Capital Corporation, the general partner of MF Manager, the general partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the Reporting Person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interest of JPM BHCA and MF Manager.

HANGER, INC.

Report date December 22, 2003 · Filed December 24, 2003

Section 16 reporting ended · disclosed 2003-12-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
7% Redeemable Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $16.50	IndirectIndirect Nature	1,381	Reported balance After 2003-12-22 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2003-12-22 · Sale · Disposed 26,500 · Balance 1,381 F2: The Company is entitled to require the 7% Redeemable Preferred Stock to be converted into non-voting common stock on or after July 2, 2002, if the average closing price of the common stock for 20 consecutive trading days is equal to or greater than 175% of the conversion price. F5: There is no expiration date. F3: These shares were initially convertible into 1,606,060 shares on non-voting common stock of the Issuer. However, accrued and unpaid dividends on the 7% Redeemable Preferred Stock will have the effect of increasing the number of shares of common stock issuable upon conversion of the 7% Redeemable Preferred Stock. F4: These shares were initially convertible into 83,697 shares of non-voting common stock of the Issuer. However, accrued and unpaid dividends on the 7% Redeemable Preferred Stock will have the effect of increasing the number of shares of common stock issuable upon conversion of the 7% Redeemable Preferred Stock. F1: The amounts shown in Table II represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (BHCA), L.P. (JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of (x) JPMP Capital Corp. which is the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA and (y) Chatham Ventures, Inc., the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the reporting person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting within JPM BHCA and MF Manager.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown in Table II represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners (BHCA), L.P. (JPM BHCA"), a portion of which may be deemed attributable to the Reporting Person because it is the sole stockholder of (x) JPMP Capital Corp. which is the general partner of JPMP Master Fund Manager, L.P. ("MF Manager"), the general partner of JPM BHCA and (y) Chatham Ventures, Inc., the limited partner of JPM BHCA. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the reporting person is not readily determinable because it is subject to several variables, including the internal rate of return and vesting within JPM BHCA and MF Manager.

F2: The Company is entitled to require the 7% Redeemable Preferred Stock to be converted into non-voting common stock on or after July 2, 2002, if the average closing price of the common stock for 20 consecutive trading days is equal to or greater than 175% of the conversion price.

F3: These shares were initially convertible into 1,606,060 shares on non-voting common stock of the Issuer. However, accrued and unpaid dividends on the 7% Redeemable Preferred Stock will have the effect of increasing the number of shares of common stock issuable upon conversion of the 7% Redeemable Preferred Stock.

F4: These shares were initially convertible into 83,697 shares of non-voting common stock of the Issuer. However, accrued and unpaid dividends on the 7% Redeemable Preferred Stock will have the effect of increasing the number of shares of common stock issuable upon conversion of the 7% Redeemable Preferred Stock.

F5: There is no expiration date.

HOME PRODUCTS INTERNATIONAL INC

Report date December 13, 2004 · Filed December 15, 2004

Jointly reported with J P MORGAN PARTNERS SBIC LLC, JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC

Section 16 reporting ended · disclosed 2004-12-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2004-12-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-13 · Sale · Disposed 1,274,472 · Balance 0

INTERLINE BRANDS, INC./DE

Report date August 09, 2005 · Filed August 11, 2005 · Amendment

Jointly reported with JP MORGAN PARTNERS 23A SBIC LP, JP MORGAN CHASE BANK

Section 16 reporting ended · disclosed 2005-08-11. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,138,448	Reported balance After 2005-08-09 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2005-08-09 · Sale · Disposed 2,138,448 · Balance 2,138,448

Impax Laboratories, LLC

Report date May 05, 2004 · Filed May 07, 2004

Jointly reported with FLEMING US DISCOVERY FUND III LP, FLEMING US DISCOVERY OFFSHORE FUND III L P, FLEMING US DISCOVERY PARTNERS LP, FLEMING US DISCOVERY LLC, JPMP CAPITAL LLC

Section 16 reporting ended · disclosed 2004-05-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	263,839	Reported balance After 2004-05-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-05-05 · Other · Disposed 5,922,398 · Balance 263,839 F1: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a distribution of 5,104,079 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), pro rata to its limited and general partners, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a distribution of 818,319 shares of Common Stock pro rata to its limited and general partners. Fleming US Discovery Partners, L.P. ("Discovery Partners") received 233,409 shares of Common Stock as general partner of the US Fund and 30,430 shares of Common Stock as general partner of the Offshore Fund. F2: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Discovery Partners. The US Fund and the Offshore Fund do not directly own any shares of the Issuer's Common Stock. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein. F3: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners which may be attributable to the US Fund and the Offshore Fund because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the US Fund and the Offshore Fund is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund. F4: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners a portion of which may be deemed attributable to Fleming US Dicovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund. F5: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest. F6: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

Filing footnotes · ownership attribution and instrument terms

F1: (a) Fleming US Discovery Fund III, L.P. ("US Fund") made a distribution of 5,104,079 shares of the Issuer's common stock, $.01 par value per share ("Common Stock"), pro rata to its limited and general partners, and (b) Fleming US Discovery Offshore Fund III, L.P. ("Offshore Fund") made a distribution of 818,319 shares of Common Stock pro rata to its limited and general partners. Fleming US Discovery Partners, L.P. ("Discovery Partners") received 233,409 shares of Common Stock as general partner of the US Fund and 30,430 shares of Common Stock as general partner of the Offshore Fund.

F2: The amounts shown represent the direct beneficial ownership of the Issuer's equity securities by Discovery Partners. The US Fund and the Offshore Fund do not directly own any shares of the Issuer's Common Stock. In addition, the other reporting owners on this Form 4 have an indirect beneficial ownership interest (which is described in footnotes 3, 4, 5 and 6 below). The US Fund, as the Designated Reporter, is executing this report on behalf of all reporting owners, each of whom has authorized it to do so. Each of such persons disclaims beneficial ownership of the securities to the extent it exceeds such person's pecuniary interest therein.

F3: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners which may be attributable to the US Fund and the Offshore Fund because Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to the US Fund and the Offshore Fund is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within the US Fund and the Offshore Fund.

F4: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners a portion of which may be deemed attributable to Fleming US Dicovery, LLC ("Discovery, LLC") because Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to Discovery, LLC is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery Partners, the US Fund and the Offshore Fund.

F5: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to JPMP Capital Corp. because JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to JPMP Capital Corp. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund. Designees of JPMP Capital Corp. on the Board of Managers of Discovery, LLC have voting and dispositive power over the securities shown in Table I and Table II, but no pecuniary interest.

F6: The amounts shown in Table I and II represent the beneficial ownership of the Issuer's equity securities by Discovery Partners, a portion of which may be deemed attributable to J.P. Morgan Chase & Co. because J.P. Morgan Chase & Co. is the sole stockholder of JPMP Capital Corp. JPMP Capital Corp. is the controlling member of Discovery, LLC. Discovery, LLC is the general partner of Discovery Partners. Discovery Partners is the general partner of the US Fund and the Offshore Fund. The actual pro rata portion of such beneficial ownership that may be deemed attributable to J.P. Morgan Chase & Co. is not readily determinable because it is subject to several variables, including the internal rate of return and vesting of interests within Discovery, LLC, Discovery Partners, the US Fund and the Offshore Fund.

NEUROBIOLOGICAL TECHNOLOGIES INC /CA/

Report date November 14, 2008 · Filed November 18, 2008

Section 16 reporting ended · disclosed 2008-11-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2008-11-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-11-14 · Sale · Disposed 2,962,340 · Balance 0 F1: Beneficial owernership of these shares was acquired by JPMorgan Chase Bank, National Association, a wholly-owned subsidiary of the reporting person. JPMorgan Chase & Co. expressly disclaims beneficial ownership of such shares except to the extent of its pecurniary interest in such shares.

Filing footnotes · ownership attribution and instrument terms

F1: Beneficial owernership of these shares was acquired by JPMorgan Chase Bank, National Association, a wholly-owned subsidiary of the reporting person. JPMorgan Chase & Co. expressly disclaims beneficial ownership of such shares except to the extent of its pecurniary interest in such shares.

NUCO2 INC /FL

Report date December 15, 2004 · Filed December 17, 2004

Section 16 reporting ended · disclosed 2004-12-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,029,178	Reported balance After 2004-12-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-12-15 · Sale · Disposed 344,730 · Balance 1,029,178
Common StockSEC Table I · non-derivative	IndirectSee footnote	16,135	Reported balance After 2004-12-15 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2004-12-15 · Sale · Disposed 5,092 · Balance 16,135 F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	8,101	Reported balance After 2004-12-15 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2004-12-15 · Sale · Disposed 2,556 · Balance 8,101 F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,479	Reported balance After 2004-12-15 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2004-12-15 · Sale · Disposed 782 · Balance 2,479 F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.
Common StockSEC Table I · non-derivative	IndirectSee footnote	905	Reported balance After 2004-12-15 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2004-12-15 · Sale · Disposed 285 · Balance 905 F4: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.
Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $7.82 · Expires 2011-01-01	IndirectSee footnote	2,000	Reported balance Holding disclosure · report date 2004-12-15 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance 2,000 F5: These options are immediately exercisable. F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.
Options (right to purchase)SEC Table II · derivative / convertible security · Conversion / exercise price $4.85 · Expires 2013-03-12	IndirectSee footnote	2,000	Reported balance Holding disclosure · report date 2004-12-15 · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · Balance 2,000 F5: These options are immediately exercisable. F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.

Filing footnotes · ownership attribution and instrument terms

F1: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors, L.P.

F2: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman), L.P.

F3: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors A, L.P.

F4: The amounts shown represent the beneficial ownership of the Issuer's equity securities by J.P. Morgan Partners Global Investors (Cayman) II, L.P.

F5: These options are immediately exercisable.

F6: The option was granted to Richard Waters, a limited partner of the JPMP Master Fund Manager, L.P., which is the general partner of J.P. Morgan Partners (BHCA), L.P. ("JPM BHCA") and a Managing Director of the general partner of JPMP Master Fund Manager, L.P. Mr. Waters is obligated to exercise the option at the request of, and to transfer any shares issued under the stock option to, JPM BHCA. All shares issued under the stock option were transferred to JPM BHCA. Mr. Waters ceased to be a director of the Issuer on December 10, 2004.

Near Intelligence, Inc.

Report date December 11, 2023 · Filed December 12, 2023

Section 16 reporting ended · disclosed 2023-12-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	4,480,000	Reported balance After 2023-12-11 transaction · row 1 1 source row Row 1 · 2023-12-11 · Purchase · Disposed 839,929 · Balance 4,480,000

POLAROID HOLDING CO

Report date April 27, 2005 · Filed April 29, 2005

Jointly reported with Banc One Financial LLC, JP Morgan Capital CORP, BANK ONE INVESTMENT CORP, OEP HOLDING CORP, ONE EQUITY PARTNERS LLC, OEP CO INVESTORS LLC

Section 16 reporting ended · disclosed 2005-04-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $.001 per shareSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2005-04-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2005-04-27 · Other · Disposed 18,745,000 · Balance 0 F1: Disposed of in connection with the merger of the issuer with Petters Consumer Brands, LLC, effective April 27, 2005, (the "Merger") pursuant to the Agreement and Plan of Merger, dated as of January 7, 2005, and amended as of March 9, 2005, among the issuer, Petters Group Worldwide, LLC and Petters Consumer Brands, LLC, pursuant to which stockholders of the issuer were paid $12.08 a share. F2: OEP Co-Investors LLC ("OEP Co-Investors") has direct beneficial ownership of 223,600 shares of common stock. OEP Co-Investors disclaims beneficial ownership of the 18,521,400 shares of common stock held directly by One Equity Partners LLC. F3: One Equity Partners LLC ("OEP") has direct beneficial ownership of 18,521,400 shares of common stock. OEP disclaims beneficial ownership of the 223,600 shares of common stock held directly by OEP Co-Investors. F4: OEP Holding Corporation ("OEP Holding") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its control over the managing members of both OEP and OEP Co-Investors. OEP Holding disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F5: Bank One Investment Corporation ("BOI") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of OEP Holding. BOI disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F6: JP Morgan Capital Corporation ("JPM CC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of BOI. JPM CC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F7: Banc One Financial LLC ("BOF LLC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of JPM CC. BOF LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein. F8: JPMorgan Chase & Co. ("JPMC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of BOF LLC. JPMC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of in connection with the merger of the issuer with Petters Consumer Brands, LLC, effective April 27, 2005, (the "Merger") pursuant to the Agreement and Plan of Merger, dated as of January 7, 2005, and amended as of March 9, 2005, among the issuer, Petters Group Worldwide, LLC and Petters Consumer Brands, LLC, pursuant to which stockholders of the issuer were paid $12.08 a share.

F2: OEP Co-Investors LLC ("OEP Co-Investors") has direct beneficial ownership of 223,600 shares of common stock. OEP Co-Investors disclaims beneficial ownership of the 18,521,400 shares of common stock held directly by One Equity Partners LLC.

F3: One Equity Partners LLC ("OEP") has direct beneficial ownership of 18,521,400 shares of common stock. OEP disclaims beneficial ownership of the 223,600 shares of common stock held directly by OEP Co-Investors.

F4: OEP Holding Corporation ("OEP Holding") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its control over the managing members of both OEP and OEP Co-Investors. OEP Holding disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F5: Bank One Investment Corporation ("BOI") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of OEP Holding. BOI disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F6: JP Morgan Capital Corporation ("JPM CC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of BOI. JPM CC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F7: Banc One Financial LLC ("BOF LLC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of JPM CC. BOF LLC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

F8: JPMorgan Chase & Co. ("JPMC") may be deemed to own beneficially and indirectly 18,745,000 shares of common stock by virtue of its ownership of all the outstanding capital stock of BOF LLC. JPMC disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.

Sky Quarry Inc.

Report date September 30, 2024 · Filed October 24, 2025

Jointly reported with JPMorgan Chase Funding Inc.

Section 16 reporting ended · disclosed 2025-10-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001SEC Table I · non-derivative	Direct	2,249,882	Reported balance Holding disclosure · report date 2024-09-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,249,882

Solid Biosciences Inc.

Report date January 30, 2018 · Filed January 31, 2018

Jointly reported with JPMC Strategic Investments II Corp

Section 16 reporting ended · disclosed 2018-01-31. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Steel Connect LLC

Report date November 16, 2004 · Filed November 18, 2004

Jointly reported with JP MORGAN PARTNERS BHCA LP, JPMP MASTER FUND MANAGER L P, JPMP CAPITAL LLC

Section 16 reporting ended · disclosed 2004-11-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, .01 par valueSEC Table I · non-derivative	Direct	706,518	Reported balance After 2004-11-16 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2004-11-16 · Sale · Disposed 3,052 · Balance 706,518

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
July 18, 2014 Filed Jul 22, 2014 21:08 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	38	$23.52	$893.76	Disclosure SEC source: 0001209191-14-048475 · doc4.xml · nonDerivative · entry 23 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:08 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	36	$23.51	$846.36	Disclosure SEC source: 0001209191-14-048475 · doc4.xml · nonDerivative · entry 22 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:08 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	15	$23.50	$352.50	Disclosure SEC source: 0001209191-14-048475 · doc4.xml · nonDerivative · entry 21 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:08 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	5	$23.53	$117.65	Disclosure SEC source: 0001209191-14-048475 · doc4.xml · nonDerivative · entry 20 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	400	$23.45	$9,380.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 30 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	400	$23.50	$9,400.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 29 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	385	$23.48	$9,039.80	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 28 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.53	$7,058.01	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 27 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 26 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 25 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 24 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 23 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 22 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 21 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	300	$23.50	$7,050.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 20 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	278	$23.45	$6,519.10	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 19 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	242	$23.48	$5,683.32	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 18 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	200	$23.50	$4,700.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 17 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	200	$23.50	$4,700.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 16 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	200	$23.39	$4,678.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 15 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	200	$23.46	$4,692.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 14 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	200	$23.46	$4,692.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 13 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	103	$23.50	$2,420.50	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 12 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 11 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.53	$2,353.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 10 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 9 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.53	$2,353.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 8 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 7 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 6 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 5 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 4 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.53	$2,353.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 3 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.50	$2,350.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 2 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:10 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	100	$23.39	$2,339.00	Disclosure SEC source: 0001209191-14-048476 · doc4.xml · nonDerivative · entry 1 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	4,945	$23.44	$115,913.77	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 30 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	4,600	$23.45	$107,870.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 29 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	4,094	$23.50	$96,213.91	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 28 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	2,200	$23.45	$51,590.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 27 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	2,000	$23.50	$47,003.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 26 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,900	$23.46	$44,574.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 25 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,675	$23.40	$39,202.20	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 24 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,500	$23.50	$35,250.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 23 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,158	$23.47	$27,176.29	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 22 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,035	$23.50	$24,322.50	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 21 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	1,000	$23.49	$23,492.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 20 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	860	$23.51	$20,218.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 19 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	762	$23.45	$17,866.61	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 18 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	700	$23.45	$16,415.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 17 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	600	$23.50	$14,101.08	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 16 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document
July 18, 2014 Filed Jul 22, 2014 21:13 UTC	CHINDEX INTERNATIONAL INC CHDX · Entity 12573	SaleClass A Common Stock	600	$23.46	$14,076.00	Disclosure SEC source: 0001209191-14-048477 · doc4.xml · nonDerivative · entry 15 JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,544,379 F1 · ownership.nature: All reported transactions were executed by wholly-owned subsidiaries of the Reporting Person. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.