1
Filed Pursuant to
Rule 424 (b) (3) and (c)
File No. 333-42500
PROSPECTUS SUPPLEMENT NO. 9 DATED JUNE 21, 2001
TO PROSPECTUS DATED AUGUST 3, 2000
CONEXANT SYSTEMS, INC.
7,651,414 SHARES
OF
COMMON STOCK
(INCLUDING THE ASSOCIATED PREFERRED SHARE PURCHASE RIGHTS)
This Prospectus Supplement should be read in conjunction with the
Prospectus dated August 3, 2000 (the "Prospectus"). The table on pages 23, 24
and 25 of the Prospectus under the caption "Selling Securityholders" setting
forth information concerning the selling securityholders in connection with the
HotRail Acquisition is superceded by the following table:
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
HOTRAIL ACQUISITION:
1392551 Ontario Ltd. .................................... 32,421 32,421
Acuitive, Inc. .......................................... 2,161 2,161
Adimare, Louis R. ....................................... 519 519
Ahn, Daniel H. .......................................... 7,883 7,883
Ain, Mark Stuart ........................................ 519 519
Ain, Ross D. ............................................ 519 519
Albanese, Glen W. ....................................... 862 862
Alexander, Leslie L. IRA................................. 2,595 2,595
Al-Khaled, Dalal Khaled Zaid............................. 1,081 1,081
Al-Khalid, Fahia & Omar Al-Nisif......................... 1,081 1,081
Al-Khalid, Lulwa & Alya Al-Bahar......................... 1,081 1,081
Al-Majed, Hussah A. H. .................................. 1,081 1,081
Al-Marzouq, Abdulwahab & Nawal Al-Marzouq................ 1,081 1,081
Al-Sabah, Mariam Nasser.................................. 540 540
Allen, Bradley P. and Rebecca J. Allen, Trustees of the
Bradley and Rebecca Allen Trust Dated February 21, 1998 865 865
Alpine Venture Fund, LP.................................. 205,856 205,856
American Pacific Ventures, Inc. ......................... 10,015 10,015
Avellar Estates, Ltd..................................... 324 324
Averett, James E. Jr., MD/IRA............................ 404 404
Avista Ventures, Inc. ................................... 10,807 10,807
Bam, Eric................................................ 235 235
Bancroft Investments II.................................. 1,038 1,038
Bancroft Investments III................................. 1,038 1,038
Bancroft Partners........................................ 519 519
Barr, John O. Jr. ....................................... 156 156
Barshop, Bruce B. ....................................... 404 404
2
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Barshop, Jamie L. ....................................... 404 404
Barshop, Steven.......................................... 404 404
Baulme, Herve............................................ 432 432
Baumgartner, Janet ...................................... 270 270
Baumgartner, Walter F. .................................. 270 270
Bean, Brian.............................................. 4,678 4,678
Beans Plus LLC - Finance................................. 3,087* 3,087
Beans Plus LLC - SM...................................... 2,329* 2,329
Binder Complex Family Trust.............................. 404 404
Blackstone Technology Partners, LLC...................... 4,323 4,323
Bliessener, Merrylee..................................... 1,543 1,543
Boehlke, Robert J. ...................................... 519 519
Bott, Richard H. ........................................ 1,038 1,038
Boyadjieff, George....................................... 519 519
BP Amoco Corporation Master Trust for Employee Pension
Plans ................................................... 83,659 83,659
Broadview SLP............................................ 1,038 1,038
Bucknell University...................................... 2,076 2,076
Builder Investment Partnership........................... 811 811
Bumgarner, Donna S. ..................................... 1,790 1,790
Burger Family Trust, The DTD 3/25/98..................... 270 270
Buten, Matthew IRA....................................... 104 104
BV Private Equity, Ltd. ................................. 5,231 5,231
Cameron, James........................................... 519 519
Campbell, Bruce.......................................... 618 618
Campbell, Bruce ACF Casey Campbell U/AZ/UTMA............. 206 206
Campbell, Bruce ACF Christopher Campbell U/AZ/UTMA....... 206 206
Campbell, Bruce ACF Kyle Campbell U/AZ/UTMA.............. 206 206
Campbell, Gordon......................................... 122,778 122,778
Campion, John E. ........................................ 3,401 3,401
Carlsen, Dan............................................. 1,029 1,029
Carnes, James M. ........................................ 540 540
Carr, Laurence J. ....................................... 2,022 2,022
Carter, Wiley L. and Nancy M. Carter Trustees of the
Wiley L. Carter & Nancy M. Carter Trust UDT 3/31/83...... 104 104
Cast Enterprises......................................... 4,323 4,323
Castle Advisers, L.P. ................................... 1,557 1,557
Centaur Business Inc. BVI................................ 2,161 2,161
Central Coast Capital Holdings, Inc. .................... 721 721
Ch'ien, Raymond K. F. ................................... 432 432
Champion International Corporation Defined Benefit &
Defined Contribution Plan Master Trust................... 32,345 32,345
Chang, Chien C. ......................................... 519 519
Chapman, J. A. and Leta M. Chapman Charitable Trust...... 24,259 24,259
Charter Ventures II, L.P. ............................... 34,377 34,377
Chase Venture Capital Associates, L.P. .................. 1,209,663 1,209,663
Chavencap, Ltd. ......................................... 18,852 18,852
Chiruvolu, Ravi ......................................... 1,160 1,160
3
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
CIT Group/Equity Investments, Inc. ...................... 6,484 6,484
Cohen, Matthew S. ....................................... 519 519
Cohen, Richard........................................... 519 519
Cohen, Richard B. ....................................... 1,081 1,081
Cohen, Robert D. ........................................ 519 519
Coleman, Bobby W. ....................................... 2,562 2,562
Collins, G. Fulton III Mgmt Trust Dated 12/31/87......... 2,022 2,022
Comerica Bank............................................ 5,892 5,892
Cooper Revocable Trust DTD 7/26/96....................... 519 519
Corrigan Family Trust U/D/T date June 12, 1984, The...... 1,038 1,038
Costa, Fran.............................................. 1,543 1,543
CPS Employees' Pension Trust............................. 26,979 26,979
Dailey, Roger E. ........................................ 404 404
Dale, Peter.............................................. 130 130
Davidson, Craig L. ...................................... 1,374 1,374
Davidson, Mari........................................... 1,374 1,374
Davis, Jarrett L. III.................................... 2,021 2,021
Daystar Realty Limited................................... 821 821
DeGeorge, Lawrence F. ................................... 5,190 5,190
Del Biaggio III, William J. ............................. 216 216
Delmon, Edmond S. ....................................... 4,323 4,323
Dench, Robert H. and Gloria E. Dench, TTEE Dench Living
Trust Dated June 16, 1994................................ 519 519
Diamond Shamrock Refining and Marketing Company.......... 1,120 1,120
Dolan, A. Barr........................................... 18,852 18,852
Dolch, Volker............................................ 1,038 1,038
Domescik, Dr. Gerald..................................... 202 202
Domescik, Dr. Gerald P/S Master Trust Northwest
Radiology Consultants.................................... 404 404
Dominion Financial LLC .................................. 61,749 61,749
Donnelly, Edwin H. MD.................................... 809 809
Dorris, Stephanie........................................ 10,292 10,292
Douglas, J. Robert IRA Rollover.......................... 404 404
Duenner, Stephen R. and Ruthie B. ....................... 2,022 2,022
Eberts, Donald........................................... 74,440 74,440
Edelson, Harry........................................... 1,038 1,038
Egan, Richard............................................ 23,158 23,158
Evans, Matthew........................................... 103 103
F&M Bank & Trust Co., Co-Trustee, Edna P. Langholz
1980 Trust .............................................. 540 540
F&W Investments 1996-II.................................. 6,175 6,175
F&W Investments 2000..................................... 9,357 9,357
FINAMA Private Equity FCPR............................... 6,484 6,484
First Formosa II Technology Investment Corp.............. 331,429 331,429
First Formosa Technology Investment Holding Company
Limited ................................................. 107,293 107,293
First Trust Corp. FBO Jerome W. Carlson IRA Account
#183315-0001............................................. 270 270
4
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Foster & Foster.......................................... 8,325 8,325
Fountain, Tracy ......................................... 1,000 1,000
Fu, Kevin J. Irrevocable Trust........................... 2,058 2,058
Fu, Shuiti............................................... 1,029 1,029
Fu-Jing Trust created on November 23, 1999............... 564,161 564,161
Gallagher, Vincent E. IRA, Bear Stearns Security Corp.
Custodian for............................................ 415 415
Gandhi, Gunavati......................................... 4,318 4,318
Georgia Tech Foundation Inc. ............................ 1,500 1,500
Gerlach & Co. ........................................... 10,807 10,807
Goldman -- Valerine Family Trust......................... 519 519
Gorman, Joseph T. ....................................... 1,038 1,038
Gorman, William S. ...................................... 5,146 5,146
Gottstein, Bernard J. ................................... 2,022 2,022
Goyan-Hart Family Living Trust, Jere E. Goyan or Linda L.
Hart, Trustees .......................................... 1,160 1,160
Great American Ventures LLC.............................. 2,161 2,161
Greb, Charles E. ........................................ 6,403 6,403
Greene, Natalie F. ...................................... 20 20
Grenon-Malzacher LLC..................................... 540 540
Gridley, Linda Bornhuetter............................... 519 519
Gupta, Ram Paul.......................................... 519 519
Gustafson, Corrie S. .................................... 292 292
Gutierrez, Salvador O. .................................. 540 540
GVC Cayman Corporation................................... 28,608 28,608
H.E. Butt Grocery Company................................ 560 560
Halff, Alex H. .......................................... 1,089 1,089
Halff, Glenn A. ......................................... 93 93
Halff, Harry A. ......................................... 93 93
Halff, James A. ......................................... 94 94
Hall, David M. .......................................... 216 216
Harrison, Donald C. ..................................... 1,160 1,160
Hart, Milledge and Patti................................. 1,081 1,081
Hartman, Greg............................................ 1,029 1,029
Head, Andrew M. ......................................... 404 404
Head, John F. Jr. ....................................... 404 404
Hennessy, John M. ....................................... 519 519
Henningsen, Lee A. ...................................... 1,038 1,038
Hershner, Thomas L. ..................................... 216 216
HFM Charitable Remainder Trust........................... 5,404 5,404
Hill Family Foundation, Inc., The........................ 1,038 1,038
Hillman, James L. ....................................... 1,029 1,029
Hix, Thomas C. .......................................... 1,029 1,029
Hixon, George C. ........................................ 6,204 6,204
Hoang, Tuong............................................. 1,482 1,482
Holarud Partners 394..................................... 4,043 4,043
Hoover, Mark............................................. 3,087 3,087
Hou, David C. Trust 2/1/2000, David C. Hou, Trustee...... 648 648
5
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
House, David L. ......................................... 104 104
Howard, David L. ........................................ 6,204 6,204
Hsieh, H.L. ............................................. 28,608 28,608
Iacovone, Jack J. ....................................... 862 862
Idanta Partners, Ltd. ................................... 2,076 2,076
Incaval S.A. Panama...................................... 1,945 1,945
Ingrams, LV. & R.A. ..................................... 1,081 1,081
Innovatech Associates.................................... 14,408** 14,408
Ironwood Partners, Ltd. ................................. 1,621 1,621
J.S. Robinson Associates................................. 1,038 1,038
Jacobson, Alexander D. Trustee of the Jacobson Living
Trust U/D/T dated 5/21/86 as Restated 2/5/97............. 865 865
Jaedicke, Robert K. Family Trust ........................ 1,160 1,160
Jath Oil Company......................................... 4,043 4,043
Jiang, Guoqing "James"................................... 2,599 2,599
Jing, Wen................................................ 411 411
Joerger, Tricia.......................................... 906 906
Johnson, Roger W. ....................................... 208 208
Johnson, Theodore Gus.................................... 571 571
Jones, Harvey N. ........................................ 519 519
Kallow East International S.A. .......................... 3,234 3,234
Kaplan, Marilyn TTEE U/A DTD 11/30/95 by Bernard Blum.... 1,038 1,038
Katz Family Trust, The................................... 519 519
Kawamura, Eiji........................................... 3,880 3,880
Kaye, Eric............................................... 4,678 4,678
Keck, Chad W. IRA........................................ 519 519
Keilhacker, Kurt ........................................ 17,703 17,703
Kenney, Vincent.......................................... 104 104
Kenny, Gerard J. ........................................ 216 216
Kertson, Richard A. & Leanna, Joint Tenants.............. 1,038 1,038
Kiger, F. Gray Jr. ...................................... 519 519
Klatt, Andrew K. ........................................ 1,161 1,161
Krinsky, David and Cathy Trustees of the Krinsky Living
Trust, DTD 10/20/95...................................... 216 216
Kufis, Andrew C.......................................... 2,058 2,058
Kufis, James C........................................... 127,248 127,248
Kufis, James C. Kufis & Carolyn M. Kufis 1988 Trust...... 2,058 2,058
Kyle Investments/A Partnership........................... 2,426 2,426
Ladensohn, David A....................................... 622 622
Ladensohn, Eliza H....................................... 32 32
Ladensohn, Kenneth R..................................... 2,562 2,562
LaFountain, Tad.......................................... 836 836
Lang, Dr. William C. Jr. ................................ 202 202
Lang, Dr. William C. Jr., P.S. Northwest Radiology
Consultants.............................................. 404 404
Larson, Robert E. ....................................... 55,381 55,381
Lauder, Gary............................................. 2,161 2,161
6
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Lawrence, Damon and Marian Trustees of the Lawrence
Living Trust DTD December 15, 1995....................... 432 432
Lee, C. Quincy Estate.................................... 2,022 2,022
Lee, Liang Chen.......................................... 21,467 21,467
Leininger, James R. ..................................... 1,120 1,120
Lepofsky, Robert J. ..................................... 1,038 1,038
Levine, Larry............................................ 108 108
Levy Family Trust Dtd 2/18/83, The....................... 1,038 1,038
Ligeti, Conner .......................................... 618 618
Ligeti, Hunter .......................................... 618 618
Ligeti, Kiersten ........................................ 618 618
Ligeti, Robert .......................................... 618 618
Lin, David Fonglu and Wand H. ........................... 1,038 1,038
Lirola, Bernard IRA, Bear Stearns Securities Corp.
Custodian ............................................... 208 208
Long, Junsheng........................................... 1,860 1,860
LOR, Inc................................................. 20,215 20,215
Lorton, Robert E. ....................................... 2,022 2,022
Love, Dixie L. .......................................... 292 292
Macricostas, Constantine................................. 519 519
Magid, James I. ......................................... 208 208
Mandaric, Milan.......................................... 2,076 2,076
Marazita, Frank.......................................... 18,054 18,054
Marshall, James R. ...................................... 2,903 2,903
Marshall, Joseph ........................................ 823 823
Marshall, Robert and Sarane Marshall as Trustees of the
Robert Marshall and Sarane Marshall Trust U/A dated
7/21/94 ................................................. 11,276 11,276
Martin, James N. ........................................ 540 540
McCombs Family, LLC...................................... 5,163 5,163
McDermott, Robert F. .................................... 2,022 2,022
McKee, E. Stanton Jr. ................................... 519 519
McManus, John J. ........................................ 519 519
McNutt, Amy Shelton Charitable Trust..................... 2,562 2,562
McWalters, Agnes ........................................ 100 100
McWalters, Kevin ........................................ 200 200
McWalters, Robert ....................................... 100 100
Mendicino, V. Frank...................................... 25,429 25,429
Michaelson, John C. ..................................... 4,378 4,378
Mineck, John D. ......................................... 519 519
Moody, J. Roger, Roth IRA................................ 519 519
Moonan, Jeffrey P. ...................................... 156 156
Moore, Gordon E. & Betty I. Moore, Trustees of the
Gordon E. Moore and Betty I. Moore Trust u/a/d 10/9/73... 2,076 2,076
Morihiro, Koji .......................................... 8,852 8,852
Morse, David............................................. 1,081 1,081
Mulderig, Jane F. ....................................... 809 809
Nason, Norman A. ........................................ 5,146 5,146
7
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Natcan Investment Management............................. 24,259 24,259
National Bancorp of Alaska, Inc. ........................ 8,086 8,086
National Christian Charitable Foundation, Inc. .......... 1,344 1,344
National Industries Group................................ 3,242 3,242
NBR -- Needham 2 Partnership............................. 1,401 1,401
Needham & Company, Inc. ................................. 4,186 4,186
Needham 1997 Investment LLC.............................. 2,074 2,074
Needham Capital Partners II (Bermuda), L.P. ............. 1,183 1,183
Needham Capital Partners II, L.P. ....................... 10,831 10,831
Needham, George A. ...................................... 4,378 4,378
Niedland, Suzanne L. .................................... 519 519
Nissenbaum, Robert ...................................... 6,175 6,175
Occhipinti, John C. ..................................... 7,883 7,883
Occhipinti, Vincent M. .................................. 55,381 55,381
Olmos Partners........................................... 2,426 2,426
Onopchenco, Laura ....................................... 3,190 3,190
Ontario Teachers' Pension Plan Board..................... 974,898 974,898
Pacific Coast Investors, Ltd. ........................... 262,980 262,980
Pantazelos, Peter G. .................................... 259 259
Pao, Henry C. and Deborah Y. Trust Dtd 10/4/83........... 519 519
Pasternoster, Paul....................................... 3,911 3,911
Patil, Suhas S. ......................................... 1,038 1,038
Perlegos, George & Angeliki.............................. 519 519
Perlegos, Gust........................................... 519 519
Phoenix Leasing Incorporated............................. 7,071 7,071
Pickard, Wesley C. Revocable Living Trust U/A 9/25/96.... 324 324
Pictet & Cie (as nominee)................................ 865 865
Poirer, Lynn............................................. 111 111
Poitras, James P. ....................................... 519 519
Ponce, Silvia A. ........................................ 519 519
Poppa, Ryal Robert....................................... 519 519
Positioning Strategies................................... 3,430 3,430
Price, Peter R. ......................................... 865 865
Prior, John J. Jr. ...................................... 3,859 3,859
Public Institution for Social Security - Kuwait.......... 8,208 8,208
Pywood Investment Corporation............................ 1,297 1,297
Race, Stephen M. ........................................ 41 41
Ragland, Ronad E. & Linda C. ............................ 519 519
Ready, Matt.............................................. 1,029 1,029
Rees, Robert W. ......................................... 2,093 2,093
Rees/Source Ventures #13, LLC............................ 25,721 25,721
Rees/Source Ventures Limited Partnership #7.............. 809 809
Rees/Source Ventures, Inc. .............................. 1,030 1,030
Regime de rentes du Mouvement des Caisses................ 21,614 21,614
Reinhold, Walter B. ..................................... 1,038 1,038
Reiser, Jr., Robert E. IRA FBO DLJSC as custodian........ 81 81
Ridley, Judy L. ......................................... 2,058 2,058
Robertson Stephens Inc. FBO U.S. Small Business ......... 38,685 38,685
8
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Administration...........................................
Robinson Partners........................................ 1,038 1,038
Robinson, James S. Trust u/a Dtd 1/1/82.................. 519 519
Rogan, Paul.............................................. 519 519
Rollins Investment Fund.................................. 10,807 10,807
Rollins, Gary W. ........................................ 2,161 2,161
Rollins, R. Randall...................................... 2,161 2,161
Roselli, Robert and Linda Roselli, JtTen 2,161 2,161
Rothschild Bank AG, Acting as nominee.................... 865 865
Royal Bank of Canada..................................... 21,614 21,614
S. Barshop Investments, Ltd. ............................ 2,830 2,830
Saalfield, James......................................... 519 519
Salient Investment L.T.D. ............................... 1,081 1,081
Sanderson, Stuart W. .................................... 208 208
Sasca Investissement..................................... 1,729 1,729
Saxe, Jon S. & Myrna G. Marshall 1997 Trust.............. 259 259
Schroeder Family Trust, The.............................. 1,038 1,038
Schwarzer, Fred M. ...................................... 1,160 1,160
Schweichler Associates................................... 2,058* 2,058
Seaver Partners.......................................... 519 519
Seawell, A. Brooke....................................... 259 259
Selby Venture Partners, L.P. ............................ 25,160 25,160
Selby, Richard........................................... 324 324
Select Ventures, L.L.C................................... 270 270
Semmes Partnership, Ltd. ................................ 2,887 2,887
Senner, Valerie.......................................... 2,210 2,210
Sentry Insurance a Mutual Company........................ 8,646 8,646
Shetler, Joy............................................. 205 205
Shields Jr., Thomas A. Trustee u/d/t 4-14-1999........... 270 270
Shoemaker Family Partner................................. 259 259
Shriner, Donald R.and Marguerite E. Trust Agreement
dated 4/25/95............................................ 5,146 5,146
Singh, Prithipal & Rajinder K. Singh, Trustees, Singh
Trust UDT April 17, 1986................................. 415 415
Smart, J. Larry & Cheryl L. as Trustees of the J.
Larry & Cheryl L. Smart Revocable Trust dtd March 29,
1995 .................................................... 519 519
Smith, Roger Living Trust................................ 324 324
Smith, Walstein Bennett III.............................. 2,058 2,058
Spersibs L.P. ........................................... 4,043 4,043
Staebler, Michael........................................ 162 162
State Street Bank and Trust Company as Trustee for
Equifax, Inc. U.S. Retirement Income Plan................ 26,979 26,979
Steidel, AnnDee L........................................ 42 42
Steidel, AnnDee L., ACF Jane L. Steidel U/TX/UTMA........ 32 32
Stein, A.J. Trust UTD dated Oct. 14, 1983, The........... 1,038 1,038
Stern, Jonathan.......................................... 404 404
Stewart, John G. ........................................ 4,323 4,323
Strauch, C.S. & Nan Y. Living Trust dated 10/26/82....... 519 519
9
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Stumberg, Diana M. ...................................... 432 432
Stumberg, Eric B. ....................................... 432 432
Stumberg, Jr., Louis H. ................................. 432 432
Stumberg, Mary Pat....................................... 865 865
Sutherlin, Michael W. & Mary Lynn Sutherlin Trustees
under Declaration of Trust Dtd 8/8/97.................... 519 519
Synergy Inc. Retirement Plan Trust....................... 2,698 2,698
Tamarind Investments, Ltd. .............................. 2,161 2,161
Techfund Capital II, L.P. ............................... 187,249 187,249
Techfund Capital Management II, LLC...................... 8,401 8,401
Techfund Capital Management, LLC......................... 16,983 16,983
Techfund Capital, L.P. .................................. 185,271 185,271
Technology Ventures Investment Fund, LLC................. 1,898 1,898
Testa, Richard J. ....................................... 104 104
Therrien, Robert J. ..................................... 1,038 1,038
Thornton, Sally B. Trust Dtd 8/14/91..................... 519 519
Tinicum Investors........................................ 1,038 1,038
Tomita, Lane............................................. 2,187 2,187
Tompkins Family Trust, The DTD 3/16/90................... 519 519
Townes, David K. IRA..................................... 156 156
Trapani, Lisa C. ........................................ 823 823
Treutlen House At New Ebenenzer ......................... 521 521
Trimble Navigation Limited Non Qualified Compensation
Plan FBO Charles R. Trimble.............................. 259 259
Trimble, Charles R. Separate Property Trust.............. 259 259
Trinity University....................................... 10,247 10,247
U.S Small Business Administration ....................... 140,637 140,637
University of Tennessee, The............................. 16,172 16,172
USAA Investment Management Company....................... 42,422 42,422
Vadasz Investment Trust dtd 3/15/99, Cindy S. Butler
Trustee ................................................. 519 519
Van Der Wansem, Paul J. ................................. 519 519
Van Horne, Charles H. ................................... 216 216
Varner, Roseanne Hirsch.................................. 519 519
Vaughn, David E. ........................................ 270 270
Veerappan, Armachalam.................................... 3,742 3,742
Venkatesh Family Living Trust............................ 324 324
Venture Lending & Leasing II, Inc. ...................... 18,278 18,278
Venture Lending & Leasing, Inc. ......................... 7,833 7,833
Viel et Cie.............................................. 1,081 1,081
Vonderschmitt, Bernard & Theresa Trust dtd 1/4/96........ 1,038 1,038
Wade Family Trust........................................ 1,038 1,038
Wah, Wong Ying........................................... 68,962 68,962
Wang, Manzhen............................................ 1,029 1,029
Wasserstein Adelson Ventures, L.P. ...................... 271,356 271,356
Weathers, William J. II.................................. 121 121
Weiskopf Silver & Co. ................................... 778 778
Wellington Trust, Robert Cohn, Trustee .................. 1,160 1,160
10
COMMON STOCK OWNED COMMON STOCK
NAME PRIOR TO THE OFFERING OFFERED HEREBY
---- --------------------- --------------
Whims, James ............................................ 14,303 14,303
Whims, Robert ........................................... 1,000 1,000
Whims, Timothy .......................................... 1,000 1,000
Wierenga, Ellie ......................................... 233 233
Willis, Mary Ellen....................................... 1,081 1,081
Wilson, Robert C. ....................................... 519 519
Witter, Michael David.................................... 519 519
Wolfson Family Trust..................................... 1,081 1,081
Woodside Fund III SBIC, L.P. ............................ 50,272 50,272
Woodside Fund IV L.P. ................................... 42,105 42,105
WPEP Ventures, LLC....................................... 9,357 9,357
Wu, Kuo-Yong............................................. 7,163 7,163
Wu, Yung-Fung............................................ 28,608 28,608
Xanadu Partners.......................................... 1,038 1,038
Yeah, Solomon............................................ 7,163 7,163
Yost, Mary Louise TTEE Mary Louise Yost Revocable
Trust U/D 1/17/01........................................ 809 809
Zafran Family Trust 12/10/95 Alan & Judy Zafran, Trustees 216 216
Zuckerman, Matthew....................................... 4,652 4,652
----- -----
Total................................................ 6,529,885 6,529,885
========= =========
* Options to purchase our common stock held prior to the offering.
** 50% of these shares represent options to purchase our common stock held
prior to the offering.