-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BJUkVeBMWFAC9Uy+aGCdw//hO0iJNfz04hgNPVhIG0kM7Sf3CwTZIZE6A7vAciIm ZhP+7P/pYQXgwioiPlacFg== 0000950152-04-006611.txt : 20040902 0000950152-04-006611.hdr.sgml : 20040902 20040901204821 ACCESSION NUMBER: 0000950152-04-006611 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20040902 DATE AS OF CHANGE: 20040901 GROUP MEMBERS: MELLON BANK, N.A. GROUP MEMBERS: MELLON FINANCIAL CORPORATION GROUP MEMBERS: MVMA, INC. GROUP MEMBERS: MVMA, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AIRNET COMMUNICATIONS CORP CENTRAL INDEX KEY: 0000944163 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 593218138 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57311 FILM NUMBER: 041012226 BUSINESS ADDRESS: STREET 1: 3950 DOW ROAD STREET 2: - CITY: MELBOURNE STATE: FL ZIP: 32934 BUSINESS PHONE: 3219841990 MAIL ADDRESS: STREET 1: 3950 DOW ROAD STREET 2: - CITY: MELBOURNE STATE: FL ZIP: 32934 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MELLON VENTURES LP CENTRAL INDEX KEY: 0001072562 IRS NUMBER: 251779945 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: ONE MELLON CENTER STREET 2: SUITE 5300 CITY: PITTSBURGH STATE: PA ZIP: 15258 BUSINESS PHONE: 4122363620 MAIL ADDRESS: STREET 1: ONE MELLON CENTER STREET 2: SUITE 5300 CITY: PITTSBURGH STATE: PA ZIP: 15258 SC 13D/A 1 j0943601sc13dza.txt BUCHANAN INGERSOLL OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response....15 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 5 )* -------- AIRNET COMMUNICATIONS CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 00941P 10 6 - -------------------------------------------------------------------------------- (CUSIP Number) Buchanan Ingersoll Professional Corporation Attn: David A. Grubman, Esq. One Oxford Centre 301 Grant Street 20th Floor Pittsburgh, PA 15219 (412) 562-8800 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 23, 2004 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. / / NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1746 (11-03) Page 1 of 12 CUSIP No. 00941P 10 6 Page 2 of 12 Pages - -------------------------------------------------------------------------------- 1. Names Of Reporting Persons. S.S. OR I.R.S. Identification Nos. of Above Persons (Entities Only). Mellon Ventures, L.P. (I.R.S. No. 25-1779945) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) /X/ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) N/A - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 7. Sole Voting Power Number of 611,745(1) Shares ----------------------------------------------------------------- 8. Shared Voting Power Beneficially 0 Owned by Each ----------------------------------------------------------------- 9. Sole Dispositive Power Reporting 611,745(1) Person ----------------------------------------------------------------- 10. Shared Dispositive Power With 0 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 611,745(1) - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / /(2) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.93%(2) - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 00941P 10 6 Page 3 of 12 Pages - -------------------------------------------------------------------------------- 1. Names Of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). MVMA, L.P. (I.R.S. No. 25-1779946) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) /X/ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) N/A - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 7. Sole Voting Power Number of 611,745(1) Shares ----------------------------------------------------------------- 8. Shared Voting Power Beneficially 0 Owned by Each ----------------------------------------------------------------- 9. Sole Dispositive Power Reporting 611,745(1) Person ----------------------------------------------------------------- 10. Shared Dispositive Power With 0 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 611,745(1) - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / /(2) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.93%(2) - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 00941P 10 6 Page 4 of 12 Pages - -------------------------------------------------------------------------------- 1. Names Of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). MVMA, Inc. (I.R.S. No. 25-1779947) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) /X/ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) N/A - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 7. Sole Voting Power Number of 611,745(1) Shares ----------------------------------------------------------------- 8. Shared Voting Power Beneficially 0 Owned by Each ----------------------------------------------------------------- 9. Sole Dispositive Power Reporting 611,745(1) Person ----------------------------------------------------------------- 10. Shared Dispositive Power With 0 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 611,745(1) - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / /(2) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.93%(2) - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 00941P 10 6 Page 5 of 12 Pages - -------------------------------------------------------------------------------- 1. Names Of Reporting Persons. S.S. OR I.R.S. Identification Nos. of Above Persons (Entities Only). Mellon Financial Corporation (I.R.S. No. 25-1233834) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) /X/ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) N/A - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization Pennsylvania - -------------------------------------------------------------------------------- 7. Sole Voting Power Number of 611,745(1) Shares ----------------------------------------------------------------- 8. Shared Voting Power Beneficially 0 Owned by Each ----------------------------------------------------------------- 9. Sole Dispositive Power Reporting 611,745(1) Person ----------------------------------------------------------------- 10. Shared Dispositive Power With 0 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 611,745(1) - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / /(2) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.93%(2) - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) HC - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 00941P 10 6 Page 6 of 12 Pages - -------------------------------------------------------------------------------- 1. Names Of Reporting Persons. I.R.S. Identification Nos. of Above Persons (Entities Only). Mellon Bank, N.A. (I.R.S. No. 25-0659306) - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) / / (b) /X/ - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Source of Funds (See Instructions) N/A - -------------------------------------------------------------------------------- 5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 7. Sole Voting Power Number of 611,745(1) Shares ----------------------------------------------------------------- 8. Shared Voting Power Beneficially 0 Owned by Each ----------------------------------------------------------------- 9. Sole Dispositive Power Reporting 611,745(1) Person ----------------------------------------------------------------- 10. Shared Dispositive Power With 0 - -------------------------------------------------------------------------------- 11. Aggregate Amount Beneficially Owned by Each Reporting Person 611,745(1) - -------------------------------------------------------------------------------- 12. Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / /(2) - -------------------------------------------------------------------------------- 13. Percent of Class Represented by Amount in Row (11) 0.93%(2) - -------------------------------------------------------------------------------- 14. Type of Reporting Person (See Instructions) BK - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 00941P 10 6 Page 7 of 12 Pages *SEE INSTRUCTIONS BEFORE FILLING OUT (1) This Amendment No. 5 to Schedule 13D ("Amendment No. 5") relates to a Schedule 13D, as amended, filed by Mellon Ventures, L.P. ("Mellon Ventures"), Mellon Financial Corporation and Mellon Bank, N.A. with the Securities and Exchange Commission (the "SEC") on May 16, 2001 and as amended on September 4, 2003, April 7, 2004, May 18, 2004 and August 23, 2004 (the "Schedule 13D"). Information in the Schedule 13D remains in effect except to the extent that it is superceded by the information contained in this Amendment No. 5. Information given in response to each item shall be deemed to be incorporated by reference in all other items. Capitalized terms used but not defined in this Amendment No. 5 shall have the meanings ascribed to such terms in the Schedule 13D. The shares of Common Stock reported herein as beneficially owned may exclude securities of AirNet Communications Corporation (the "Issuer") with respect to which voting and/or dispositive power is exercised by subsidiaries of Mellon Financial Corporation, or departments or units thereof, independently from the exercise of those powers over the securities reported herein. (2) Pursuant to Rule 13d-1(j), the percentage of the class represented by the Common Stock beneficially owned by the reporting persons includes the amount set forth on the Quarterly Report of the Issuer on Form 10-Q filed with the SEC on August 12, 2004. SCHEDULE 13D CUSIP No. 00941P 10 6 Page 8 of 12 Pages ITEM 1 SECURITY AND ISSUER This Amendment No. 5 relates to the Common Stock of the Issuer. The principal executive offices of the Issuer are located at 3950 Dow Road, Melbourne, Florida 32934, as reported in its most recent Quarterly Report on Form 10-Q filed with the SEC on August 12, 2004. ITEM 2 IDENTITY AND BACKGROUND This Amendment No. 5 is filed on behalf of Mellon Ventures and the following entities: Mellon Ventures is a Delaware limited partnership and has its principal business address at 4005 Kennett Pike, Greenville, Delaware 19807. Mellon Ventures is a small business investment company organized under the Small Business Investment Act of 1958, as amended, whose principal business is to invest in equity or equity-related securities of companies. MVMA, L.P., a Delaware limited partnership, has its principal business address at 4005 Kennett Pike, Greenville, Delaware 19807, is the general partner of Mellon Ventures and holds a 1% equity interest in Mellon Ventures. Its principal business is to act as general partner of Mellon Ventures. MVMA, Inc., a Delaware corporation, which has its principal business address at 4005 Kennett Pike, Greenville, Delaware 19807, is the general partner of MVMA, L.P. and holds a 1% equity interest in MVMA, L.P. Its principal business is to act as general partner of MVMA, L.P. The name, business address, present principal occupation and citizenship of each executive officer and director of MVMA, Inc. and the sole stockholder of MVMA, Inc. are set forth on Annex A hereto. Mellon Bank, N.A., a national banking association, which has its principal executive office and principal business address at One Mellon Center, Pittsburgh, Pennsylvania 15258, is the majority limited partner of Mellon Ventures. The name, business address, present principal occupation and citizenship of each executive officer and director of Mellon Bank, N.A. are set forth on Annex B hereto. Mellon Financial Corporation, a Pennsylvania corporation ("Mellon Financial"), which has its principal executive office and principal business address at One Mellon Center, Pittsburgh, Pennsylvania 15258, is the sole stockholder of Mellon Bank, N.A. The name, business address, present principal occupation and citizenship of each executive officer and director of Mellon Financial Corporation are set forth on Annex B hereto. During the last five years, none of Mellon Ventures, together with MVMA, L.P., MVMA, Inc., Mellon Bank, N.A., Mellon Financial Corporation (collectively, the "Mellon Affiliates") and the persons set forth on Annexes A and B hereto have been convicted in any criminal proceeding (excluding traffic violations or similar misdemeanors). During the last five years, none of the Mellon Affiliates and the persons set forth on Annexes A and B hereto have been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, as a result of which it or he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. CUSIP No. 00941P 10 6 Page 9 of 12 Pages ITEM 3 SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Not applicable. The Schedule 13D is being amended by this Amendment 5 to reflect the beneficial ownership of the Mellon Affiliates as of September 1, 2004 following the disposition of shares of Common Stock in an amount greater than one percent of the outstanding shares of Common Stock of the Issuer calculated on the basis of the outstanding shares of Common Stock reported by the Issuer on its Quarterly Report on Form 10-Q, filed with the SEC on August 12, 2004. The reporting persons have made no acquisitions of the Issuer's Common Stock since those reported in an amendment to the Schedule 13D filed on September 4, 2003. ITEM 4 PURPOSE OF THE TRANSACTION The respective purposes of Mellon Ventures in disposing of shares of Common Stock is to maximize the return on Mellon Ventures' previous investments in the Issuer in light of current market and business conditions, liquidity requirements of Mellon Ventures and other factors that the Mellon Affiliates may deem material to their investment decision. The Mellon Affiliates intend to review their respective investment positions from time to time. Depending upon such ongoing review, as well as market and business conditions, liquidity requirements of Mellon Ventures and other factors that the Mellon Affiliates may deem material to their investment decision, they may choose to purchase additional securities of the Issuer or to sell all or a portion of their shares of Common Stock in open market or privately negotiated transactions. Except as described herein, the Mellon Affiliates have no present plans or proposals that relate to or would result in any of the actions described in Item 4(a) through (j) of Schedule 13D. ITEM 5 INTEREST IN SECURITIES OF THE ISSUER (a) The Mellon Affiliates are the beneficial owners of 611,745 shares of Common Stock on a fully diluted basis. These 611,745 shares constitute approximately 0.93% of the Issuer's issued and outstanding shares of Common Stock. (b) The Mellon Affiliates have the sole power to vote or direct the vote and sole power to dispose or to direct the disposition of 611,745 shares of Common Stock. (c) Mellon Ventures has effected the transactions in the Common Stock of the Issuer that are set forth in the attached Annex C hereto. (d) No persons, other than the Mellon Affiliates have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock beneficially owned thereby. (e) The Mellon Affiliates ceased to be the beneficial owner of more than five percent of the Issuer's Common Stock on August 30, 2004. The foregoing may exclude securities of the Issuer with respect to which voting and/or dispositive power is exercised by subsidiaries of Mellon Financial Corporation, or departments or units thereof, independently from the exercise of those powers over the securities reported herein. CUSIP No. 00941P 10 6 Page 10 of 12 Pages ITEM 6 CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER The Issuer has entered into the transactions disclosed in the Issuer's current reports on Form 8-K dated April 23, 2004, and April 26, 2004, which include the execution of a Consent, Waiver and Lockup Agreement, dated April 21, 2004, among the Issuer, Mellon Ventures and other holders of securities of the Issuer (incorporated by reference to Exhibit 99.1 to Amendment No. 3 to Schedule 13D) (the "Agreement") pursuant to which the Issuer acknowledged and confirmed that the shares of Common Stock of the Issuer referenced herein constitute "Registrable Securities" under a Second Amended and Restated Registration Rights Agreement Among Series E, Series F and Series G Preferred Stockholders and Senior Registration Rights Agreement, dated September 7, 1999 and as thereafter amended by a First Amendment to Second Amended and Restated Registration Rights Agreement Among Series E, Series F and Series G Preferred Stockholders and Senior Registration Rights Agreement, dated September 20, 1999, respectively incorporated as Exhibits 99.2 and 99.3 to Amendment No. 3 to Schedule 13D (collectively, the "Registration Rights Agreement"). The Agreement, among other matters, contemplates certain waivers of rights, for a period stated in the Agreement, under the Registration Rights Agreement, which in turn provides to Mellon Ventures, among other persons, demand, piggyback and S-3 registration rights. Mellon Financial, a reporting person, and its wholly owned subsidiary Mellon Ventures, Inc., a Delaware corporation, are parties to numerous staff carry award agreements with certain current and former employees of Mellon Ventures, Inc., pursuant to the Mellon Ventures Staff Carry Award Program. Those current and former employees may receive cash payments from Mellon Ventures reflecting a pro rata percentage of certain levels of gains in the liquidation value of certain securities of the Issuer held by Mellon Ventures. Such cash payments are paid only when Mellon Ventures' individual securities that make up its investment have liquidation values that exceed certain required expenses and other costs paid by Mellon Ventures. CUSIP No. 00941P 10 6 Page 11 of 12 Pages ITEM 7 MATERIAL TO BE FILED AS EXHIBITS The following materials are filed as exhibits: Exhibit 99.1: Joint Filing Agreement, dated September 1, 2004 (Filed herewith). CUSIP No. 00941P 10 6 Page 12 of 12 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this Statement is true, complete and correct. Date: September 1, 2004 MELLON VENTURES, L.P. By: MVMA, L.P., its General Partner By: MVMA, INC. its General Partner By: /s/ Ronald J. Coombs ---------------------------------------- Ronald J. Coombs Chief Financial Officer MVMA, L.P. By: MVMA, INC. its General Partner By: /s/ Ronald J. Coombs ---------------------------------------- Ronald J. Coombs Chief Financial Officer MVMA, INC. By: /s/ Ronald J. Coombs ---------------------------------------- Ronald J. Coombs Chief Financial Officer MELLON FINANCIAL CORPORATION By: /s/ Carl Krasik ---------------------------------------- Carl Krasik Secretary MELLON BANK, N.A. By: /s/ Carl Krasik ---------------------------------------- Carl Krasik Assistant Secretary ANNEX A EXECUTIVE OFFICERS, DIRECTORS AND SOLE STOCKHOLDER OF MVMA, INC. Name and Title Principal Occupation and Business Address Charles J. Billerbeck Mellon Ventures, Inc. Senior Managing Director and Director One Mellon Center, Suite 5210 Pittsburgh, PA 15258 Ronald J. Coombs Mellon Ventures, Inc. Chief Financial Officer and Director One Mellon Center, Suite 5210 Pittsburgh, PA 15258 Lawrence E. Mock, Jr. Mellon Ventures, Inc. President, Chief Executive Officer, Director One Mellon Center, Suite 5210 and Sole Stockholder Pittsburgh, PA 15258 Each of the individuals listed above is a citizen of the United States of America. ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
DIRECTOR PRINCIPAL OCCUPATION AND BUSINESS ADDRESS DIRECTOR SINCE Ruth E. Bruch Senior Vice President and 2003 Chief Information Officer Lucent Technologies, Inc. c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Paul L. Cejas Chief Executive Officer 2004 PLC Investments, Inc. c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Jared L. Cohon President 1998 Carnegie Mellon University c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Steven G. Elliott Senior Vice Chairman 2001 Mellon Financial Corporation and Mellon Bank, N.A. One Mellon Center Room 4826 Pittsburgh, PA 15258 Ira J. Gumberg President and Chief Executive Officer 1989 J.J. Gumberg Co. c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258
ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
DIRECTOR PRINCIPAL OCCUPATION AND BUSINESS ADDRESS DIRECTOR SINCE Edmund F. Kelly Chairman 2004 Liberty Mutual Group c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Edward J. McAniff Of Counsel 1994 O'Melveny & Myers c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Martin G. McGuinn Chairman and Chief Executive Officer 1998 Mellon Financial Corporation Chairman, President and Chief Executive Officer Mellon Bank, N.A. One Mellon Center Room 4826 Pittsburgh, PA 15258 Robert Mehrabian Chairman, President and Chief Executive Officer 1994 Teledyne Technologies Incorporated c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 Seward Prosser Mellon President and Chief Executive Officer 1972 Richard K. Mellon and Sons Richard King Mellon Foundation c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258
ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
DIRECTOR PRINCIPAL OCCUPATION AND BUSINESS ADDRESS DIRECTOR SINCE Mark A. Nordenberg Chancellor 1998 University of Pittsburgh c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 James F. Orr III Chairman 2003 The Rockefeller Foundation c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 David S. Shapira Chairman and Chief Executive Officer 1986 Giant Eagle, Inc. c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 William E. Strickland, Jr. President and Chief Executive Officer 2001 Manchester Bidwell Corporation c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258 John P. Surma President and Chief Operating Officer 2004 United States Steel Corporation c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258
ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
DIRECTOR PRINCIPAL OCCUPATION AND BUSINESS ADDRESS DIRECTOR SINCE - -------- ----------------------------------------- -------------- Wesley W. von Schack Chairman, President and Chief Executive Officer 1989 Energy East Corporation c/o Mellon Financial Corporation One Mellon Center Room 4826 Pittsburgh, PA 15258
ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. EXECUTIVE OFFICERS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
NAME PRINCIPAL OCCUPATION BUSINESS ADDRESS - ---- -------------------- ---------------- Martin G. McGuinn Chairman and Chief Executive One Mellon Center Officer Room 4826 Mellon Financial Corporation Pittsburgh, PA 15258 Chairman, President and Chief Executive Officer Mellon Bank, N.A. Steven G. Elliott Senior Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 James D. Aramanda Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 Stephen E. Canter Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 John T. Chesko Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 David F. Lamere Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 Ronald P. O'Hanley Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258 James P. Palermo Vice Chairman One Mellon Center Mellon Financial Corporation and Room 4826 Mellon Bank, N.A. Pittsburgh, PA 15258
ANNEX B EXECUTIVE OFFICERS AND DIRECTORS OF MELLON FINANCIAL CORPORATION AND MELLON BANK N.A. EXECUTIVE OFFICERS OF MELLON FINANCIAL CORPORATION AND MELLON BANK, N.A.:
NAME PRINCIPAL OCCUPATION BUSINESS ADDRESS - ---- -------------------- ---------------- Allan P. Woods Vice Chairman and Chief Information One Mellon Center Officer Room 4826 Mellon Financial Corporation and Pittsburgh, PA 15258 Mellon Bank, N.A. Michael A. Bryson Chief Financial Officer One Mellon Center Mellon Financial Corporation Room 4826 EVP and Chief Financial Officer, Pittsburgh, PA 15258 Mellon Bank, N.A. Timothy P. Robison Chief Risk & Compliance Officer One Mellon Center Mellon Financial Corporation and Room 4826 Executive Vice President and Chief Risk Pittsburgh, PA 15258 Officer Mellon Bank, N.A. Leo Y. Au Treasurer One Mellon Center Mellon Financial Corporation Room 4826 Senior Vice President, Manager, Pittsburgh, PA 15258 Corporate Treasury Group Mellon Bank, N.A. Michael K. Hughey Senior Vice President and Controller One Mellon Center Mellon Financial Corporation Room 4826 Senior Vice President, Director of Taxes Pittsburgh, PA 15258 and Controller, Mellon Bank, N.A.
Each of the individuals listed above is a citizen of the United States of America. The sole stockholder of Mellon Bank, N.A. is Mellon Financial Corporation. ANNEX C TRANSACTIONS IN THE ISSUER'S COMMON STOCK WITHIN THE PAST 60 DAYS The following sales transactions were effected by Mellon Ventures during the past 60 days prior to the date of this Amendment No. 5, in such quantities of shares of Common Stock of the Issuer, on the dates and at the sales prices indicated below. The sales transactions below were all effected pursuant to Rule 144 under the Securities Act of 1933, as amended, pursuant to broker's transactions (as such term is defined in Rule 144). Date Shares Price ------- ------- ----- 8/16/04 450,000 $0.29 8/16/04 774,552 $0.30 8/16/04 575,000 $0.31 8/16/04 150,000 $0.32 8/16/04 100,000 $0.33 8/16/04 50,000 $0.34 8/16/04 50,000 $0.35 8/16/04 50,000 $0.38 8/16/04 50,000 $0.40 Date Shares Price ------- ------- ----- 8/23/04 405,000 $0.32 8/23/04 270,000 $0.31 8/23/04 548,519 $0.30 8/23/04 475,000 $0.29 8/23/04 350,000 $0.28 8/23/04 450,000 $0.27 Date Shares Price ------- ------- ----- 8/30/04 50,000 $0.30 8/30/04 300,000 $0.29 8/30/04 425,000 $0.28 Date Shares Price ------- ------- ----- 8/31/04 350,000 $0.29 8/31/04 85,000 $0.28 8/31/04 695,000 $0.27 8/31/04 370,000 $0.26 Date Shares Price ------- ------- ----- 9/1/04 385,000 $0.31 9/1/04 100,000 $0.30 9/1/04 395,076 $0.29 EX-99.1 2 j0943601exv99w1.txt EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT Joint Filing Agreement, dated as of September 1, 2004, by and among Mellon Ventures, L.P., MVMA, L.P., MVMA, Inc., Mellon Financial Corporation and Mellon Bank, N.A. Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree that the Statement on Amendment No. 5 to Schedule 13D to which this exhibit is attached is filed on behalf of each of them in the capacities set forth below. Dated: September 1, 2004 MELLON VENTURES, L.P. By: MVMA, L.P., its general partner By: MVMA, INC., its general partner By: /s/ Ronald J. Coombs --------------------------------------- Ronald J. Coombs Chief Financial Officer MVMA, L.P. By: MVMA, INC., its general partner By: /s/ Ronald J. Coombs --------------------------------------- Ronald J. Coombs Chief Financial Officer MVMA, INC. By: /s/ Ronald J. Coombs --------------------------------------- Ronald J. Coombs Chief Financial Officer MELLON FINANCIAL CORPORATION By: /s/ Carl Krasik --------------------------------------- Carl Krasik Secretary MELLON BANK, N.A. By: /s/ Carl Krasik --------------------------------------- Carl Krasik Assistant Secretary -----END PRIVACY-ENHANCED MESSAGE-----