EX-4 6 wii.htm WACHOVIA INVESTORS LIST OF DIRECTORS

Data Sheet Report Friday, August 30, 2002

Wachovia Investors, Inc. (FUI) as of Thursday, August 29, 2002

Status:
Internal No.:
Incorporation:
Ann. Mtg. Min. Resp.:
Attorney Contact:
Purpose Category:
Corp Records/Seal:
Responsible Attorney:

Active
0112
North Carolina
Legal - Charlotte
Donna Harris
Merchant Banking
Legal - Charlotte
Jay Powers

Federal ID #:

56-1915240

  
     

Fiscal Year End:

12/31

Comment:

  

Annual Meeting:

Third Tuesday in April

Primary Address
One First Union Center

Charlotte, NC 28288-0630

Registered Address
None given

Primary Phone

Primary Fax

Purpose of Business

Holds investments permitted under Section 4(c)(6) of BHC Act: Brazos Fund, (6799) Merchant banking activities (31SA) commenced 3/13/00.

 

Former Name (s)

From Date

Through Date

FUI, Inc.

Wednesday, March 22, 1995

Wednesday, November 13, 1996

Comment:

  

First Union Investors, Inc.

Wednesday, November 13, 1996

Friday, February 01, 2002

Comment:

  

 

DIRECTORS

Currently Authorized: 3

Min: 3

Max: 3

Quorum: 0

Classes: 0

Comment:

  
 

Title

    

Ted A. Gardner

Director

    

Scott B. Perper

Director

    

Kevin J. Roche

Director

    
       

OFFICERS
 

Title

    

Vincent Altamura

Senior Vice President

    

Robert L. Andersen

Senior Vice President

    

Tracey W. Anklin

Vice President

    

Anthony R. Augliera

Senior Vice President

    

Michele D. Bailey

Assistant V.P.

    

Jacqueline A. Ballantine

Vice President & Assistant Secretary

    

Jerry P. Bates

Vice President

    

Dale R. Batman

Senior Vice President

    

James L. Beaver, Jr.

Senior Vice President

    

Matthew Berk

Senior Vice President

    

Ann K. Black

Assistant V.P.

    

Catherine A. Blaisdell

Assistant V.P.

    

Paul J. Blass

Vice President

    

Julia I. Bouhuys

Senior Vice President

    

John J. Braden

Senior Vice President

    

John J. Bresnan

Senior Vice President

    

Curtis L. Brouwer

Senior Vice President

    

Robert G. Calton, III

Senior Vice President

    

David M. Carroll

Senior EVP

    

David B. Carson

Senior Vice President

    

Sandy Cavaness

Assistant V.P.

    

Tracey M. Chaffin

Vice President

    

John Chepul

Officer

    

Jay M. Chernoskey

Senior Vice President

    

Charles D. Childress

Assistant V.P.

    

Caryn Chittenden

Vice President

    

Francis C. Clark

Senior Vice President

    

Thomas Hal Clarke, Jr.

Senior Vice President

    

Richard Cobbs, Jr.

Assistant V.P.

    

Bennett S. Cole

Senior Vice President

    

Steve Columbaro

Assistant V.P.

    

Braxton B. Comer

Senior Vice President

    

James C. Cook

Senior Vice President

    

Mark L. Cook

Senior Vice President

    

Andrew Cooney

Senior Vice President

    

Rosalia J. Costa-Clarke

Vice President

    

Charles L. Culbreth

Senior Vice President

    

Stephen E. Cummings

Senior Vice President

    

Barbara R. Curry

Officer

    

Richard J. Daileader

Senior Vice President

    

John J. Dalnoky

Vice President

    

Jerry W. DeBerry

Vice President

    

Michelle D. Dellinger

Vice President

    

Mark A. Deskus

Assistant V.P.

    

Catherine E. Dolan

Senior Vice President

    

Michael J. Domagala

Senior Vice President

    

Douglas R. Edwards

Senior Vice President

    

Terry W. Edwards

Senior Vice President

    

Barbara W. Elliott

Assistant V.P.

    

Sam O. English, III

Vice President

    

Frederick W. Eubank, II

Senior Vice President

    

Thomas M. Finke

Senior Vice President

    

Patrick D. Finn

Senior Vice President

    

Richard E. Fogg

Vice President

    

William T. Fowler

Vice President

    

John A. Foxgrover

Vice President

    

Ted A. Gardner

Senior Vice President

    

Paul N. Gehrig

Vice President

    

Melissa M. Gill

Vice President

    

William L. Gilmer

Senior Vice President

    

Herman T. Goins, Jr.

Assistant V.P.

    

David T. Grady

Vice President

    

David F. Grams, Jr.

Vice President

    

Michael N. Gray

Vice President

    

Robert A. Gray

Vice President

    

Jennifer R. Green

Officer

    

Susan A. Groves

Officer

    

Mark D. Gustafson

Officer

    

L. Watts Hamrick, III

Senior Vice President

    

Donna M (WACH) Harris

Secretary

    

Scott C. Harrison

Assistant V.P.

    

W. Barnes Hauptfuhrer

President

    

William T. Hobbs

Senior Vice President

    

Sandra B. Hollenbach

Vice President

    

Sonya M. Holmes

Assistant V.P.

    

Thomas K. Hoops

Vice President

    

Bradley T. Hubacher

Assistant V.P.

    

Edward P. Imbrogno

Senior Vice President

    

Bradley J. Ipema

Senior Vice President

    

Beverly W. Jackson

Assistant Secretary

    

Ross E. Jeffries, Jr.

Senior Vice President

    

Cynthia P. Johnson

Assistant V.P.

    

John W. Johnson

Vice President

    

Benjamin J. Jolley

Senior Vice President

    

Steven Jr. Jones

Senior Vice President

    

David M. Julian

Senior Vice President

    

Jack B. Kester, Jr.

Vice President

    

Robert L. Kreidler, Jr.

Vice President

    

Pearce A. Landry

Vice President

    

Janet M. LeClair

Senior Vice President

    

Rodger Levenson

Senior Vice President

    

Peggy B. Linder

Assistant V.P.

    

Deborah B. Lineberger

Officer

    

Eric J. Lloyd

Vice President

    

Dorothy Y. London

Vice President

    

Joe O. Long

Senior Vice President

    

Donald M. Macleod

Executive VP

    

Benjamin T. May

Senior Vice President

    

Dawn G. McCall

Vice President

    

Kevin R. McCarthy

Vice President

    

Victoria I. McDonald

Vice President & Assistant Secretary

    

Taylor Mefford

Assistant V.P.

    

Mark Metz

Senior Vice President

    

Donald L. Minges

Vice President

    

Aprille M. Mitchell

Assistant Secretary

    

Lisa M. Morgan

Assistant V.P.

    

David Neal Morrison

Senior Vice President

    

Carol R. Mullis

Vice President

    

Nathan A. Myers

Assistant V.P.

    

Marta Ochoa

Officer

    

Michael T. Oliver

Assistant Secretary

    

Joseph R. Parrish

Senior Vice President

    

Scott B. Perper

Senior Vice President

    

Amy T. Pitt

Assistant V.P.

    

James F. Powers

Senior Vice President

    

Shailandra K. Prakash

Senior Vice President

    

Matthew S. Rankowitz

Senior Vice President

    

Jim F. Redman

Senior Vice President

    

David W. Reed

Vice President

    

Kevin J. Roche

Senior Vice President

    

Arthur C. Roselle

Vice President

    

Edward H. Ross

Senior Vice President

    

Courtney E. Rountree

Assistant V.P.

    

David J. Scanlan

Vice President

    

William H. Schwartz

Assistant Vice President & Assistant Secretary

    

Sue Schwein

Vice President

    

Gary R. Sessions

Vice President

    

Patrick J. Shevlin

Senior Vice President

    

Walker C. Simmons

Vice President

    

Michael C. Smith

Assistant V.P.

    

Sean M. Smith

Assistant V.P.

    

Matthew L. Soule

Vice President

    

Sterling A. Spainhour

Senior Vice President

    

James Stenersen III

Vice President

    

Scott R. Stevens

Assistant V.P.

    

Benjamin C. Stewart

Senior Vice President

    

Wellford Tabor

Vice President

    

Steven J. Taylor

Senior Vice President

    

Barry Taylor-Brill

Senior Vice President

    

Gloria A. Thompson

Vice President

    

Gregory Thompson

Senior Vice President

    

Heather M. Thompson

Officer

    

William L. Trotter

Vice President

    

Campbell Tucker

Vice President

    

William R. Turk, III

Senior Vice President

    

Kimberly C. Wagner

Assistant V.P.

    

Kristy A. Wallace

Assistant V.P.

    

Herbert A. Ware

Senior Vice President

    

Michael A. Watkins

Senior Vice President

    

Franklin M. Wessinger

Senior Vice President

    

Patricia J. Wichnoski

Assistant V.P.

    

Benjamin F. Williams, Jr.

Senior Vice President

    

Thomas J. Wurtz

Senior Vice President

    

Rollins Wykle

Assistant V.P.

    

Jay A. Young

Vice President

    
       

STOCKS

Common Stock

Price/Par Value:
CUSIP:
SYMBOL:

$1.00

Date Authorized:
Authorized:
Outstanding:
Issued:
# in Treasury:


100
100
100
 

Comment:

  
 


Current Owner(s)


Certificate No.


%Ownership


No. of Shares

Date Issued
or Transferred
 

Wachovia Corporation (FUC)

1

100

100

Monday, March 27, 1995
 

Value of Consideration:

  
 

Consideration:

 

Comment:

  

 

 

DIRECT SUBSIDIARIES

 

Incorp/Formed in

%Ownership

 

Alidian Investment, LLC

North Carolina

88.83%

  

Balducci Holdings, LLC

North Carolina

90%

  

CMLB 2001, LLC

Delaware

100%

  

Evergreen Private Equity Fund, L.P.

Delaware

3.75%

  

Evergreen Private Investment Funds Hedged Equities Super Accredited, L.P.

Delaware

5.36%

  

Evergreen Private Investment Funds Multi-Strategy Accredited, L.P.

Delaware

3.08%

  

Evergreen Private Investment Funds Multi-Strategy Super Accredited, L.P.

Delaware

3.1%

  

Evergreen Private Investment Hedged Technology Fund, Accredited, L.P.

Delaware

7.38%

  

First Union Merchant Banking 1997, LLC

North Carolina

99%

  

First Union Merchant Banking 1998, LLC

North Carolina

99.5%

  

First Union Merchant Banking 1998-III, LLC

North Carolina

100%

  

First Union Merchant Banking 1999, LLC

North Carolina

99.5%

  

First Union Merchant Banking 2001, LLC

North Carolina

99%

  

First Union Merchant Banking, 1998 - II, LLC

North Carolina

99.5%

  

First Union Merchant Banking, 1999 - II, LLC

North Carolina

99.5%

  

FUI, LLC

North Carolina

100%

  

LYNX 2002-I, Ltd.

Cayman Islands

100%

  

North Carolina Economic Opportunity Fund, L.P.

  

24.99%

  

Wachovia Capital Partners 2001, LLC

North Carolina

100%

  

Wachovia Capital Partners 2002, LLC

North Carolina

99.5%

  

Wachovia Capital Partners, LLC

North Carolina

100%

  
       

INCORPORATION/QUALIFICATIONS

Jurisdiction

Inc/Qual

Charter No.

Tax ID No.

Date

End Date

Duration

North Carolina

Incorporation

    

Wednesday, March 22, 1995

    
 

Agent:

The Prentice-Hall Corporation System, Inc.
 

Comment:

  
     

Pennsylvania

Qualification

    

Monday, April 27, 1998

    
 

Agent:

Corporation Service Company
 

Comment:

  
     

 

 

HISTORY

Saturday, November 29, 1997 Merged Signet Commercial Credit Corporation merged with and into First Union Investors, Inc. on 11/29/97.

Saturday, May 16, 1998 Merged CoreStates Enterprise Capital, Inc. merged with and into First Union Investors, Inc. on May 16, 199

Monday, August 31, 1998 Merged General Finance Service Corporation merged with and into First Union Investors, Inc. on 8/31/98.

Friday, December 28, 2001 Merged First Union Leveraged Capital 2001, LLC merged with and into Wachovia Investors, Inc. on 12/28/01.

Friday, December 28, 2001 Merged First Union Leveraged Capital, LLC merged with and into Wachovia Investors, Inc. on 12/28/01.

 

 

 

NARRATIVES

Monday, November 18, 1996 Other Name Change

The name of FUI, Inc. was changed to First Union Investors, Inc. effective 11/13/96.

Tuesday, April 21, 1998 Resolution Shareholders Consent -Annual Meeting

Tuesday, April 21, 1998 Resolution Directors Consent - Annual Meeting

Tuesday, May 26, 1998 Other Contacts

Steve Antal - Legal

Tracey Chaffin - Capital Partners

Curt Brouwer - Tax

Tuesday, April 20, 1999 Resolution Shareholders Consent -Annual Meeting

Tuesday, April 20, 1999 Resolution Directors Consent - Annual Meeting

Tuesday, April 20, 1999 Resolution Directors Consent - Annual Meeting

Tuesday, April 18, 2000 Resolution Shareholders Consent -Annual Meeting

Tuesday, April 18, 2000 Resolution Directors Consent - Annual Meeting

Tuesday, April 17, 2001 Resolution Shareholders Consent -Annual Meeting

Tuesday, April 17, 2001 Resolution Directors Consent - Annual Meeting

Tuesday, April 16, 2002 Resolution Shareholders Consent -Annual Meeting

Tuesday, April 16, 2002 Resolution Directors Consent - Annual Meeting