SBIC Management Assessment Questionnaire & License Application; Exhibits to SBIC License App./Mgmt. Assessement Questionnaire

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Short Form 2181 "Pre-screen" Instructions

Application Instructions

SBA provides an optional Pre-screen that prospective applicants may consider completing and submitting to SBA. This an optional step, b
recommended for first-time applicants to the SBIC Program. Prospective applicants are invited to submit a Pre-screen Form 2181 and rec
is informal and non-binding, but it helps prospective applicants better understand SBA’s underwriting criteria and reassess their own fit w
The Pre-screen 2181 contains a subset of forms contained in the full MAQ. Specifically:
•
•
•
•

The Overview
Narrative
Investment Track Record
Principal Biographies

Completing this form can help prospective applicants prepare for the Management Assessment Questionnaire (MAQ) without incurring th
Application Fee. This information gives background context to aid SBA in providing informal feedback.

Once this Pre-screen (Short Form 2181) is completed, prospective applicants may submit the Pre-screen (Short Form 2181) via e-mail to SB
with the subject line “Pre-screen: MM/DD/YYYY: Name of Prospective Applicant”. If considering the SBIC Critical Technologies (SBICCT) Init
state “SBICCT Pre-screen: MM/DD/YYYY: Name of Prospective Applicant”.

You will be notified of the receipt of your Pre-screen form via e-mail within 2 - 4 business days, and SBA may follow up to offer the opport
non-binding feedback related to SBA’s underwriting criteria and program considerations.

OMB Approval No. ####-####
Expiration Date MM/DD/YYYY

ing to SBA. This an optional step, but one that is highly
mit a Pre-screen Form 2181 and receive feedback. The feedback
criteria and reassess their own fit with the program.

ionnaire (MAQ) without incurring the cost of the MAQ

n (Short Form 2181) via e-mail to [email protected]
C Critical Technologies (SBICCT) Initiative the subject line should

A may follow up to offer the opportunity to share informal and

[Applicant Name]
License Type Requested
Requesting SBICCT Consideration?
SBICCT Areas Covered
Applicant Name
Investment Firm/Organization
Manager Registered RIA?
Fund Vintage Year
Fund Jurisdication / Fund Structure
Minimum Fund Size to Close
Target Fund Size / Hard Cap
Amount Raised
Paid in Capital
Number of Closings Completed
Date of First Close
Minimum L.P. Investment Size
Investment from Sponsor % | $
Investment Period (years)

Applicant Overview Information
Standard Debenture SBIC
Yes
[Applicant Name]
[Applicant Firm Name]
No
20xx
Delaware

Limite

$ Target

$
$
$
dd/mm/yyyy
$

%
x

Fund Term (years)

x

Target First Close Date

dd/mm/yyyy

Target Final Close Date
Fund Style
Fund Strategy
Security Allocation Targets
Geographic/Regional Focus
Industry(s) of Focus
Target Fund Return (Net)
Net IRR Rang
Low %
Target Fund Leverage (Requested Leverage)Dollars
$
Annual Management Fee

dd/mm/yyyy
Private Equity
Hybrid Growth
(i.e. 30% equity co-investment, 30% direct equity, 40
U.S. Nationwide
Healthcare
Pharma, Biotech & Life Sciences
High %
Net MOIC Range
Ratio to Private Capital %

Example: Initial Investment Period = 2% of Unreduced Regulatory Capital plu
Initial Investment Period = 2% of the cost of loans and investments for all

Other Fees
Carried Interest
Preferred Return (if applicable)
Fund's Primary Benchmark
Investment Principals

description and %
%
%

Last Name, First Name ; Last Name, First Nam

Key Person(s)

Last Name, First Name ; Last Name, First Nam
SUBMISSION DATES

Pre-screen Submission Date

dd/mm/yyyy

Estimated Target Date for MAQ Submission

dd/mm/yyyy

ebenture SBIC
Yes

ant Name]
Firm Name]
No
0xx
Limited Partnership
$ Hard Cap

Enter this
info for
Final
License
Applicatio
n

$
$

m/yyyy
$
$

x

x

m/yyyy

m/yyyy
e Equity
d Growth
nt, 30% direct equity, 40% debt)
ationwide
thcare
ch & Life Sciences
et MOIC Range
Low #.#X
atio to Private Capital %
%

High #.#X

d Regulatory Capital plus Assumed Leverage; After the
and investments for all “active” portfolio companies.

ion and %
%
%
; Last Name, First Name
; Last Name, First Name

m/yyyy

m/yyyy

Narrative
As of Date:
dd/mm/yyyy
The narrative sheet and all requested attachments must be completed in full by all applicants.
Name of Applicant:

1

[Applicant Name]

Investment Strategy
1.1 Investment Strategy, Allocation and Transaction Types

Describe the fund's investment strategy and the types of transactions you intend to pursue. Describe how this aligns with the Congressiona
the SBIC Program. Unless it does not apply, please address the following elements:
1. Asset class and strategy
2. Investment mix (funds, directs, equity, debt etc.)
3. Geographic focus
4. Industry focus
5. Stage of investment

For Reinvestor SBICs ONLY, include a description of the Underserved focus of the proposed fund and how this is reflected in the fund's inve

Response here. Limit to 500 words.

1.2 Approach to Portfolio Construction

Describe how you approach portfolio construction. Include details related to your allocation policy, targeted range for the number of portfo
approach to follow-on investments (if applicable), reserves management and recycling.
Response here. Limit to 500 words.

1.3 Leverage at the Portfolio Company Level

Whether you are primarily an equity or debt investor, discuss your view of the use of leverage at the portfolio company level. Identify the k
making an investment and state your preferred leverage level for a typical investment.

1.4 Market Opportunity

Please explain the market dynamics underlying your strategy. What are the key macroeconomic or industry specific factors that will drive d
your strategy? What key factors will determine your opportunities for exit and liquidity?

1.5 Competition
Identify your direct competitors and explain your competitive advantage(s).

1.6 Risk Management
Please identify the major risks to the success of your investment strategy. Describe your
approach to identifying and managing risk.

1.7 Economic Impact
The SBIC Program was created to facilitate the flow of long-term capital to American small businesses and startups. Please discuss the
economic impact you expect your investment activities will have on American small businesses and their employees. Please use data to
support your response.

1.8 Restricted Use of Federal Funds

The following categories would result in either criminal liability for the SBIC and its managers or are otherwise prohibited under the progra
Tobacco, Federally Illegal Substances, and International Reinvestment. Will you restrict from investing in the following areas?

2

Firm and Team
2.1 Firm Overview
Please provide a brief history of your firm (including any affiliates) and describe all investing, advisory or other business activities the firm
currently conducts, or will conduct in addition to managing the SBIC.

2.2 Team History

Briefly describe the origins of this team and any shared work history of the Principals. Please include dates, the context in which the Princip
and the organizations for which each principal worked at the time.

2.3 Team Cohesion

2.3.1 Are there any known conditions (health, litigation, financial, personal, etc.) of any of the Principals that might affect their ability to execute t
the SBIC? If yes, please provide an explanation below.

2.3.2 In the past 5 years, have any senior members of your team departed the firm? If yes, please provide their names, titles and briefly explain t
departure.

2.3.3 In the past 2 years, have any employees departed the firm? If yes, please provide their names, titles, tenure in years, and briefly explain the
departure.

2.3.4 In the past 2 years, have you onboarded new employees to the firm? If yes, please provide their names, titles and tenure with the firm.

2.3.5 In the past 2 years, have you promoted any employees within your firm? If yes, provide their names and titles pre- and post promotion.

3

Investment Process
3.1 Overview of the Investment Process
Using a numbered list, please identify the steps in your fund’s investment process from deal origination
to portfolio monitoring and note any decision points. Please include no more than three to four
sentences explaining each step.
1 Deal Sourcing and Origination

2 Initial Screening

3 Due Diligence

4 Portfolio Monitoring and Risk Management

5 Liquidity and Realizations

3.2 Investment Due Diligence
Describe your due diligence process, specifically indicating the type and extent of your inquiries and
research. Indicate how this responsibility is allocated among principals, staff, committees, personnel
from affiliated organizations and outside consultants.

3.3 Decision-Making Process
Describe the decision-making process used to make new investments, exit current investments, make
follow-on investments or otherwise manage the operations of the fund. In your response please refer
to the following:
Periodicity of Management Team Meetings
Voting Power of Principals
Number of votes required for approval/disapproval of new investments, follow-on investments, exits or other fund operations
Any special voting rights, such as veto rights, held by one or more principals
Any requirements to obtain the consent of one or more principals

4

Portfolio Management & Monitoring
4.1 Investment Monitoring
Discuss the process you use to monitor investments in your portfolio. Please refer to the following
items in your response:
Reporting required of portfolio companies
Firm’s approach to board representation
Number of deals each principal will be responsible for at peak
Periodicity of portfolio reviews
Level of engagement with portfolio company management
Provision of consulting services to portfolio company management
Who and how will you work with the SBA so the Agency can effectively monitor the portfolio?

4.2 Underperforming Investments

Discuss your approach to monitoring and managing underperforming investments. Depending upon the investment strategy, explain the
around poor-performing investments, decline follow-on funding or sell-off your position. When possible, please provide specific examples f
records. Explain how and when you decide to mark-down or write-off your position and how this aligns with the valuation policy of the app

4.3 Portfolio Services
Describe the scope of all portfolio services, outside of portfolio company financing, you intend to provide.

Examples may include Operating Partners, Venture Partners, Marketing, Human Resources, Recruiting, Back-office Services and Technolog

Do you intend to charge portfolio companies for services provided? If so, list the scope of all services you might charge portfolio companies

SBA requires disclosure of this fact and the scope of potential charges to be disclosed to SBIC portfolio companies as part of the terms of fi

4.5 Value Creation

Discuss your approach to influencing and maximizing partial and full realization opportunities for equity capital investments or approach to
returns for long-term loans and debt investments. Depending upon the investment strategy, explain the measures you take to influence p
outcomes for both the portfolio concern and investors in the fund.

4.5 Regulatory Compliance

Describe the processes you will use to monitor your compliance with SBIC Program Regulations and manage recurring Regulatory Examina
identify the person(s) that will have primary responsibility for regulatory compliance.

5

Fund Economics
5.1 Carried Interest
Please provide a detailed description of the carried interest provisions of your fund, identify the basis of the calculation (e.g. whole fund or
your vesting policy. If applicable, explain how these provisions compare with your previous funds and rationale for any changes.

5.2 Management Fee
Please describe the formula you will use to calculate the management fee that the SBIC will be charged.

Describe any changes that may occur over the course of the fund’s life. If requesting the inclusion of portfolio services charges in the mana
fee offset calculation, please include the scope of the request in the space below as well.

5.3 Other Compensation
Provide details concerning any compensation, including bonuses, the principals earn outside this
partnership. Include a list of any funds for which (i) the principals are earning carried interest, or (ii) the
firm is earning management fees.

5.4 Fee Allocation
Please describe your policy on the allocation of fees, such as transaction fees, investment banking fees,
monitoring fees, directors’ fees, etc., between the SBIC and any management or other affiliated entities.

6

Capitalization

6.1 Identify your anticipated minimum to close, and discuss how your investment strategy, fund operations or other SBIC-related activities wou
if you fail to reach your target fundraising level and must operate with this lower amount of capital.

6.2 Placement Agent

Have you hired or do you intend to hire a Placement Agent? If "Yes", please enter the information under the "Service Providers" section of t
In the space below, describe the duties called for by any placement agents. State who will be responsible for payment of placement agent c
compensation and how and when such compensation will be paid.

6.3 Investors

Please describe the anticipated composition of your investor base by the following investor segments: banks, pensions, endowments & fou

6.4 Third-Party Borrowing and Capital Call Lines
Do you have or do you intend to have any third party borrowing arrangements in place at any time prior to being licensed? "Yes" or "No"

If “Yes,” please provide a description of your current or expected capital call and/or borrowing arrangements. If this is a licensing applicatio
(Please review 13 CFR 107.550)

7

Governance
7.1 Organizational Chart
Provide an organizational chart of all entities and persons related to the SBIC on one page. Include any parent funds(s) or side-car vehicles
List below the ownership percentages for the Applicant’s management company and General Partner.

7.2 Associates and Affiliated Entities – Service Providers
Read the definition of Associate (13 CFR 107.50) and Affiliate (13 CFR 121.103). Identify any Associates
and Affiliated individuals and entities that will provide services to the Applicant in connection with the
Applicant’s activities as an SBIC, such as due diligence, deal sourcing, administration, or portfolio
consulting, and explain how they will be compensated.

7.3 Associates and Affiliated Entities – Organizational Structure
Read the definition of Associate (13 CFR 107.50) and Affiliated Entity (13 CFR 121.103). Indicate
whether any individual or entity identified in your organizational chart or in the previous question is an
Associate or Affiliate of any other SBIC applicant or currently licensed SBIC.

7.4 Conflicts of Interest
Describe current or proposed methods to identify any potential conflicts of interest and the procedures
for resolving those potential conflicts.

7.5 Advisory Committee or LPAC
Do you intend to have an LP Advisory Committee?
Do you intend to have any other type of corporate, advisory or governance committee?
If “Yes” to either question, please provide a brief description of the membership of each committee, if known.
Explain the role and responsibilities of each committee, and any compensation you expect to provide to its members.

7.6 Personal Co-Investments
Describe your policies regarding personal investments by principals and/or other employees in portfolio
companies. If personal investments are permitted, please indicate whether “hard” dollars or “soft”
dollars will be used and discuss.

7.7 Limited Partner Co-Investments
Describe your policies regarding co-investments made by limited partners. If you plan to offer limited
partners the opportunity to co-invest alongside the fund, explain the circumstances under which such an
offer would be made.

7.8 Other Co-Investments
Provide details regarding any Affiliates and/or Associates, as defined in 13 CFR 107.50 and 13 CFR
121.103, respectively, that are likely to participate in SBIC investments. Please specify the nature of the
affiliation or association of the entity.

7.9 Responsible Investing and Non-Discrimination Policies and Practices (Voluntary)
7.9.1 Do you maintain a formal ESG or Responsible Investing Policy?
7.9.2 If yes, what year was it established?
7.9.3 Do you maintain a formal Diversity, Equity and Inclusion Policy?
7.9.4 If yes, what year was it established?

7.9.5 As the mandate of the SBIC Program is to solve for capital access inadequacies for small businesses, SBA seeks address persistent shortfalls
small businesses and startups across industries, geographies and communities. While not a requirement for licensing to invest in these are
all that apply to your investment strategy and focus.
Responsible Investment Themes
Climate Change
Clean Energy
Biotech
Domestic Supply Chain & Manufacturing
Cyber Security
Inclusive Workforce and Non-discrimination
Water
Nutrition
Health and Wellness
Education
Financial Inclusion
Rural, LMI, and Opportunity Zone Businesses
Affordable Housing-Related Businesses

8

Attachments
Please refer to the "Attachment Checklist" tab and submit the documents listed and check the box next to each item you have submitted.

9

SBIC Critical Technologies Initiative (SBICCT) Applicants Only
9.1 SBIC Critical Technologies (SBICCT) Applicants Only

The SBICCT Initiative's mission is to increase investment opportunities in technology companies, critical industries, and capital-intensive sm
today’s most pressing national security supply chain needs. Please discuss the impact you expect your investment strategy will have on US
justify your response.

9.2 The SBICCT Initiative requires at least 60% of all private capital and SBA leverage finance companies in one or multiple DoD Critical Technol
Technology areas the proposed fund intends to invest in. If there are allocation targets by area, please describe. If you plan to invest in oth
these industries or technology verticals and the intended allocation.

9.3 The SBICCT Initiative is in support of U.S. national security. Do you intend to accept investment from non-U.S. entities and/or individuals? If
consider.

9.4 Does your firm currently maintain relationships in other firm managed funds with non-U.S. investor entities and/or individuals? If yes, pleas
investor and $ assets by country.

9.5 Are all Principals, Investors and Associates of the Applicant willing to undergo a U.S. Department of Defense background check?

10 Drop-Down Funds and Business Development Company (BDC) SBIC Applicants ONLY
Is this a drop-down SBIC?

10.1 Capital
How much capital do you intend to drop-down from the parent fund to the SBIC?
$
10.2 Parent Fund
Describe the types of investments the parent currently makes or plans to make. Discuss how those
investments and future investments may either be different from the SBIC’s investment strategy or how
they will be similar. State what criteria will be utilized for determining into which fund an investment
will be placed. Will you maintain a formal allocation policy to govern such decisions?

OMB Approval No. ####-####
Expiration Date MM/DD/YYYY

plicants.

pursue. Describe how this aligns with the Congressional mandate and mission of
6. Company size
7. Investment/Deal size
8. Ownership/Control
9. Lead, co-investor or sole investor
10. Investment pace

oposed fund and how this is reflected in the fund's investment strategy.

ocation policy, targeted range for the number of portfolio company investments in the fund,
ng.

leverage at the portfolio company level. Identify the key leverage metrics you evaluate when
nt.

roeconomic or industry specific factors that will drive deal flow for
ity?

small businesses and startups. Please discuss the
businesses and their employees. Please use data to

managers or are otherwise prohibited under the program: Human Trafficking, Pornography,
ict from investing in the following areas?

vesting, advisory or other business activities the firm

s. Please include dates, the context in which the Principals met, worked together,

the Principals that might affect their ability to execute their duties to the firm or

, please provide their names, titles and briefly explain the reasons for their

eir names, titles, tenure in years, and briefly explain the reasons for their

rovide their names, titles and tenure with the firm.

de their names and titles pre- and post promotion.

om deal origination

ur inquiries and

ittees, personnel

nvestments, make

ponse please refer

on investments, exits or other fund operations

o the following

Depending upon the investment strategy, explain the measures you take to turn
tion. When possible, please provide specific examples from the principals' track
and how this aligns with the valuation policy of the applicant fund.

ou intend to provide.

ources, Recruiting, Back-office Services and Technology Applications and Services.

pe of all services you might charge portfolio companies for. If charging for portfolio services,

d to SBIC portfolio companies as part of the terms of financing.

ortunities for equity capital investments or approach to maximizing potential cash
strategy, explain the measures you take to influence positive and aligned

Regulations and manage recurring Regulatory Examinations. Please

dentify the basis of the calculation (e.g. whole fund or deal-by-deal) and explain
revious funds and rationale for any changes.

BIC will be charged.

g the inclusion of portfolio services charges in the management

well.

d interest, or (ii) the

ment banking fees,

er affiliated entities.

gy, fund operations or other SBIC-related activities would change

ount of capital.

e information under the "Service Providers" section of this Form 2181.
o will be responsible for payment of placement agent compensation, the basis for

nvestor segments: banks, pensions, endowments & foundations, family offices, high net worth individual investors, RIAs/financial intermediaries, fund-of-funds, othe

ace at any time prior to being licensed? "Yes" or "No"

borrowing arrangements. If this is a licensing application, provide any associated borrowing agreements.

e page. Include any parent funds(s) or side-car vehicles if relevant.

d General Partner.

ify any Associates

nnection with the

ious question is an

and the procedures

ach committee, if known.

expect to provide to its members.

mployees in portfolio

ollars or “soft”

an to offer limited

under which such an

0 and 13 CFR

y the nature of the

mall businesses, SBA seeks address persistent shortfalls in access to capital for
le not a requirement for licensing to invest in these areas, please check the box of

Challenges Address by Investing in Companies Developing Solutions in These Areas:
Mitigate and adapt to climate change
Accelerate the energy transformation to a low-carbon economy
Treatment and care of rare diseases
Supply chain disruptions and a fragile domestic manufacturing ecosystem
Improved cyber and data security
Persistent systemic racism has denied access and opportunities to build equity and participate in the labor force for many Americans
Global water scarcity and water quality crisis
Reducing the global food production imbalance
Improved mental and physical health
Equality of access to information and educational technologies and services
Improving financial wellness and building equity for all Americans
Expanding access and opportunities to jobs, equity, services and technology
Largest shortfall in U.S. housing in 50 years

check the box next to each item you have submitted.

companies, critical industries, and capital-intensive small businesses addressing
t you expect your investment strategy will have on US national security and please

ance companies in one or multiple DoD Critical Technology Areas. Please detail the Critical
ets by area, please describe. If you plan to invest in other technology areas, please describe

nvestment from non-U.S. entities and/or individuals? If yes, please list the countries you will

on-U.S. investor entities and/or individuals? If yes, please list the countries and the number of

Department of Defense background check?

BIC Applicants ONLY

cuss how those

ent strategy or how

nd an investment

ancial intermediaries, fund-of-funds, other entity investors. List anticipated percentages for each segment. List the names and contact information for investors who

force for many Americans

formation for investors who have "soft circle" committed to invest in the fund pending License approval

OMB Approva
Expiration
License no.:

Investment Track Record
As of Date:

dd/mm/yyyy

Name of Applicant:

[Applicant Name]

Firm name

Investment
Vehicle (Fund)

Vintage Year

Size of Vehicle (if
applicable)

Fund Style

if applicable

if applicable

if applicable

if applicable

if applicable

Description
Please describe the investment experience presented above and why it is relevant to the SBIC proposal

Please describe your role in making the investments described above.

Footnotes:
Include any footnotes below.

Type of
Investment

Deal Name (Company or Fund Investment)

Portfolio Company or Fund EIN
#

Industry

Washington Widgets

Manufacturing

Lincoln Group

Business Services

Jefferson Trucks

Trucking

Kennedy Textiles

Textiles

VanBuren Windows

Manufacturing

Cleveland Communications

Communications

Wilson Components

Electronics

(Note: If you need to insert additional rows, please do so above the last line)

State (Geography)

Sponsor
(Name)

Lead
Investor

Coinvestors
(Equity)

CoCreditors
(Debt)

2-digit Abbreviation

Firm or Fund
Name

Firm or Fund
Name

Firm or Fund
Name

Firm or Fund
Name

Strategy

Mezzanine
Special Situations
Growth Stage
Hybrid Debt/Equity
Later Stage
Later Stage
Later Stage

Venture/Expansion Stage

Equity Security

Debt
Security /
Loan

Purpose of
Date of Inv.
Financing

Date of Full
or Partial
Exit

Invested
Capital

Distributed
(Realized) Value

Unrealized
Value

The amount of
capital distributed to
Fund from the
investment to date.

Sub-Debt

Dec-05

Jun-09

$2.5 M

$3.1 M

$0.0 M

Sub-Debt

Mar-06

Oct-10

$1.8 M

$2.4 M

$0.0 M

Apr-06

Jun-07

Common Equity

$5.3 M

$3.5 M

$0.0 M

Sub-Debt

Jun-06

$1.5 M

$0.8 M

$2.0 M

Second Lien

Feb-07

$2.4 M

$1.0 M

$1.5 M

Sub-Debt w/Warrants

Aug-07

$3.1 M

$2.1 M

$1.8 M

Senior Debt

Aug-07

$2.0 M

$1.8 M

$0.5 M

$18.6 M

$14.7 M

$5.8 M

TOTAL:

Current Reported
Value

Total Value

Cash
Multiple
(MOIC)

IRR

Sourced By

Current reported value
for the investment
"Total Value" is equal to
(based on current fair "Current Reported Value"
market value / mark-to- + "Amount Distributed".
market value).

Led/Co-led Deal

Last Name, First Name

1.24x

15.4%

1.33x

14.2%

0.66x

(15.0%)

1.87x

21.0%

1.04x

8.0%

1.26x

16.0%

1.15x

6.0%

1.10x

7.5%

<-- Gross IRR

2.5%

<-- Net IRR (Gross IRR net of fees)

Company Financials at Time of Full Exit OR as of Valuation Date

Board or Board Observer
Seat

if applicable

Data as of
MM/DD/YYYY

Transaction Type

Valuation
Methodology

Number of
Employees

Enterprise
Value

LTM
Revenue

Other Key Personnel Involved in Deal

LTM EBITDA

Cash &
Equivalents

Total Debt/Loans

Ownership % at Full Exit or
as of Valuation Date

Financial
Analysis/Market
Research

fully diluted

Last Name, First Name
(if applicable)

Key Personnel Involved in Deal
Made
Recommendation
to
Investment/Credit
Committee

Investment/
Credit
Committee

Negotiation

Officer of
the
company

Last Name,
Last Name,
Last Name, First
Last Name, First Name
First Name
First Name
Name
(if applicable)
(if applicable) (if applicable)
(if applicable)

Last Name, First
Name
(if applicable)

Last Name,
Last Name,
Last Name,
Last Name,
First Name
First Name
First Name
First Name
(if applicable) (if applicable) (if applicable) (if applicable)

Lead
Structuring

Lead Due
Diligence

Board of
Directors

Board
Observer

Exit Process

Principal Biographies
As of Date:

dd/mm/yyyy

Name of Applicant:

[Applicant Name]

For each principal please provide a brief biography and a description of his/her role within the team. Use the suggested format below,
ensuring you include all previous employment and associated time periods. Enter this information on the "Principal bios" tab in this
workbook.
Template
First Name Last Name

Title

First Name Last Name is one of three General Partners at XYZ Capital and a member of the investment team. S/he joined XYZ Capital in
1995 as an Associate, was promoted to Partner in 2002 and General Partner in 2005. Prior to joining XYZ Capital, Last Name was an
Associate with ABC Asset Management, where s/he worked from 1993 to 1995. S/he began her/his career as an Investment Banking
Analyst at DEF Associates in 1990.
Last Name earned a B.A. in Economics from ABC College in 1990 and an MBA from GHI University in 1993.
1 First Name

Last Name

2 First Name

Last Name

3 First Name

Last Name

4 First Name

Last Name

5 First Name

Last Name

6 First Name

Last Name

7 First Name

Last Name

8 First Name

Last Name

9 First Name

Last Name

s/her role within the team. Use the suggested format below,
ds. Enter this information on the "Principal bios" tab in this

member of the investment team. S/he joined XYZ Capital in
er in 2005. Prior to joining XYZ Capital, Last Name was an
1995. S/he began her/his career as an Investment Banking

BA from GHI University in 1993.
Title

Title

Title

Title

Title

Title

Title

Title

Title