CONNECTICUT DEVELOPMENT AUTHORITY 2012 ANNUAL REPORT€¦ · 2 Brooklyn General Repair, Inc. 25...

CONNECTICUT DEVELOPMENT AUTHORITY

2012 ANNUAL REPORT

Connecticut Development Authority Year End June 30, 2012

Legislative Report Table of Contents Page Management Letter 1 Summary of Activities 2 Narrative regarding activities for the year ending June 30, 2012 Planned activities for the year ending June 30, 2013 Legislative Recommendations Economic Benefit Criteria 3 Loans Closed – Financial Information For Fiscal Year Ending June 30, 2012 4 Company Name, Loan Closing Date, Gross Loan Amount, CDA & Non-State Assistance, Job Retention Requirements Connecticut Growth Fund Connecticut Works Fund – Direct Capital Access Fund – Urbank Sales & Use Tax Relief Minority Assistance Summary 7 Accountant’s Letter from Whittlesey & Hadley, P.C. 9 Employment Information 10 New and Outstanding Financing - Summaries Total Jobs Retained and Created Summary 11 Total Jobs Created Summary 12 New and Outstanding Financing Detail 13 Total Loans - Summaries Total Jobs Retained and Created Summary 25 Total Jobs Created Summary 26 Loans Closed Fiscal Year Ending June 30, 2012 27 Full / Part-time Jobs Created & Retained

Supplemental Information Health Benefit and Wage Rate Data 30 Revenue Data 31 Loans Closed – General Information For Fiscal Year Ending June 30, 2012 32 Company Name, Loan, Closing Date, Business Address, Business Location, Business Activity, SIC Code Connecticut Growth Fund Connecticut Works Fund – Direct Capital Access Fund – Urbank Sales & Use Tax Relief Listing of High Performance Work Organizations 35 Application Information 37 Applications Approved, Disapproved, Withdrawn, and Still Pending for FY June 30, 2012 Bond Issue Information 39 Company Name, Date Closed, Net and Gross Amount, Underwriter, and Pricing Method Affirmative Action and Equal Opportunity Employment Policy Statement 40 Affirmative Action Activities 42 CDA Workforce Analysis 44 Listing of Individuals & Firms Paid Over $5,000 45 Audited Financial Statements FY June 30, 2012 Whittlesey & Hadley, P.C.

SUMMARY OF PAST ACTIVITIES, GOALS FOR FISCAL YEAR ENDING JUNE 30, 2013

AND PROPOSED LEGISLATIVE CHANGES

On July 1, 2012, Connecticut Development Authority operations were merged into Connecticut Innovations. Due to the merger, there are no Goals or Proposed Legislative Changes for Connecticut Development Authority for the fiscal year ending 2013. Rather, our goals and proposed legislative changes for FYE 6/30/2013 will be the same as those listed in the Connecticut Innovations Annual Report. For a summary of past activities, please see the section titled “Loans Closed‐ Financial Information” of this report which outlines all financial transactions for FYE 6/30/12 for the Connecticut Development Authority.

Page 2 of 45

CONNECTICUT DEVELOPMENT AUTHORITY

ECONOMIC BENEFIT CRITERIA

The Connecticut Development Authority provides financial assistance through a variety of programs. While the types of assistance and delivery mechanism utilized for each may vary greatly, the Authority’s mission of creating jobs and improving the economic base of the State is paramount. For those programs involving direct approval by the Board of Directors, the economic impact of a project and its resulting benefit to the State is examined both qualitatively and quantitatively. Consideration is given to a host of factors, including:

1. Form and structure of assistance must benefit the operating company. 2. Is the project’s creation and retention of jobs in Connecticut proportionate to

amount of assistance? (Typical range of $5,000 to $20,000 per job is influenced by other factors such as quality of jobs, location, targeted industry, etc.)

3. Is recipient part of a targeted industry cluster? 4. Does recipient export sales or trade with Africa? 5. Is the Authority leveraging its dollar with the private sector? 6. Is the financial strength of the company sufficient to expect repayment? 7. Is the credit risk proportional to the economic benefit received by the State? 8. Is the recipient in compliance with environmental, OSHA and tax requirements? 9. Has the recipient qualified as a High Performance Work Organization? 10. What kind of employee relations is maintained (i.e., affirmative action policy,

work stoppages, etc.)? 11. Is the project designated a Threshold Project, and if so, which public policy

objectives are expected to be fulfilled? In addition to the above, a credit rating is assigned and tracked to monitor risk. The project’s overall economic impact to the State is quantified and used as an additional tool to aid in the decision process of approving a project. Factors addressed in this quantitative approach include:

1. Costs to Connecticut (e.g., state investment, and cost of funds and tax abatements).

2. Projected returns to State via various taxes, fees and repayment of loans. 3. Employment analysis (e.g., average salary per employee and dollar investment

per job. 4. Other factors, such as urban environment re-mediation, employee training, fringe

benefits targeted community, etc. Through this comprehensive approach, the Authority strives to attain a balance of economic risk and benefit for the State of Connecticut.

Page 3 of 45

LOANS CLOSED - FINANCIAL INFORMATION FOR FISCAL YEAR ENDING JUNE 30, 2012

GROWTH FUND JobCreation

Date CDA Non-State Or RetentionCompany Closed Assistance Assistance Total Requirements *

1 Rice Packaging, Inc. 8/18/2011 49,950 299,640 $349,590 Yes2 Reidville Hydraulics & Mfg., Inc. 8/30/2011 70,000 0 $70,000 Yes3 Genex Turbine Technologies LLC 9/9/2011 100,000 0 $100,000 Yes4 Reidville Hydraulics & Mfg., Inc. 9/26/2011 60,000 0 $60,000 Yes5 Clear Automation, LLC 11/18/2011 300,000 0 $300,000 Yes6 Genex Turbine Technologies LLC 12/19/2011 384,600 0 $384,600 Yes7 Genex Turbine Technologies LLC 1/9/2012 15,400 0 $15,400 Yes8 Rice Packaging, Inc. 1/17/2012 243,090 1,458,248 $1,701,338 Yes9 Rice Packaging, Inc. 2/16/2012 6,660 39,952 $46,612 Yes10 Clear Automation, LLC 5/11/2012 200,000 0 $200,000 Yes11 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 500,000 1,381,000 $1,881,000 Yes12 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 500,000 1,381,000 $1,881,000 Yes

Totals $2,429,700 $4,559,840 $6,989,540

WORKS FUND JobCreation


1 Schulz Electric Company (The) 7/22/2011 47,250 0 47,250 Yes2 Schulz Electric Company (The) 8/18/2011 72,500 0 72,500 Yes3 HSB Aircraft Components, LLC 8/31/2011 76,000 0 76,000 Yes4 Schulz Electric Company (The) 9/30/2011 81,920 0 81,920 Yes5 Carla's Pasta, Inc. 10/3/2011 641,577 0 641,577 Yes6 B & F Design, Incorporated 10/12/2011 800,000 0 800,000 Yes7 Quality Sales 10/14/2011 200,000 0 200,000 Yes8 Quality Sales 10/14/2011 200,000 0 200,000 Yes9 HSB Aircraft Components, LLC 10/21/2011 105,000 0 105,000 Yes10 Quality Sales 10/26/2011 200,000 0 200,000 Yes11 Schulz Electric Company (The) 11/8/2011 98,800 0 98,800 Yes12 Ramdy Corporation 11/18/2011 250,000 0 250,000 Yes13 Beacon Industries, Inc. 12/8/2011 1,500,000 9,300,000 10,800,000 Yes

* A yes response indicates that the recipient is subject to certain job rentention or creation requirements

Page 4 of 45


WORKS FUND JobCreation


14 Schulz Electric Company (The) 12/16/2011 40,530 0 40,530 Yes15 Carla's Pasta, Inc. 12/19/2011 274,961 0 274,961 Yes16 Broadstar Wind Corporation 1/3/2012 500,000 833,333 1,333,333 Yes17 Amco Precision Tools, Inc. 2/8/2012 450,000 0 450,000 Yes18 Amco Precision Tools, Inc. 2/8/2012 230,000 0 230,000 Yes19 Carla's Pasta, Inc. 3/12/2012 183,307 0 183,307 Yes20 Northeastern Shaped Wire, Inc. 3/22/2012 250,000 0 250,000 Yes21 mk North America, Inc. 4/27/2012 850,000 0 850,000 Yes22 mk North America, Inc. 4/27/2012 300,000 0 300,000 Yes23 Broadstar Wind Corporation 5/3/2012 1,500,000 2,500,000 4,000,000 Yes24 Bantam Supply Co., Inc. 5/18/2012 500,000 300,000 800,000 Yes25 Supreme-Lake Mfg., Inc. 5/31/2012 750,000 6,140,000 6,890,000 Yes26 Aperture Optical Sciences, Inc. 6/1/2012 350,000 289,000 639,000 Yes

Totals $10,451,845 $19,362,333 $29,814,179

URBANK CAPITAL ACCESS JobCreation


1 Garage Media, LLC 7/6/2011 105,000 245,000 $350,000.00 Yes2 Foley Insurance Group, LLC 8/15/2011 7,500 17,500 $25,000.00 Yes3 Mariner Capital Partners, LLC 8/15/2011 15,000 35,000 $50,000.00 Yes4 North Street Laundry, LLC 8/15/2011 78,000 182,000 $260,000.00 Yes5 Arnold Group, LLC (The) 10/25/2011 30,000 70,000 $100,000.00 Yes6 Guardian Angels Homecare, LLC 10/25/2011 15,000 35,000 $50,000.00 Yes7 Dental Arts of Avon, P.C. 10/26/2011 15,000 35,000 $50,000.00 Yes8 JT Fazz, LLC 1/23/2012 7,500 17,500 $25,000.00 Yes9 JT Fazz, LLC 1/23/2012 30,000 70,000 $100,000.00 Yes10 Airflow Truck company 2/14/2012 7,500 17,500 $25,000.00 Yes11 Alfin, Fagin & Falce LLP 2/27/2012 15,000 35,000 $50,000.00 Yes


Page 5 of 45


URBANK CAPITAL ACCESS JobCreation


12 Mountain Laurel Enterprises, Inc 2/27/2012 15,000 35,000 50,000 Yes13 We Care Computers, LLC 3/14/2012 19,500 45,500 65,000 Yes14 We Care Computers, LLC 3/14/2012 10,500 24,500 35,000 Yes15 Connecticut Physical Therapy Specialists, LLC 3/20/2012 15,000 35,000 50,000 Yes16 Apple Valley Bowling, LLC 5/31/2012 22,500 52,500 75,000 Yes17 Harty Press, Inc. (The) 5/31/2012 150,000 350,000 500,000 Yes18 IMX Pilates, d/b/a 6/7/2012 36,000 84,000 120,000 Yes19 Commercial Asphalt Maintenance, LLC 6/13/2012 16,500 38,500 55,000 Yes

Totals $610,500 $1,424,500 $2,035,000

SALES AND USE JobCreation


1 Advanced Fusion Systems, LLC 11/11/2011 1,525,000 0 1,525,000 Yes2 Lee Company (The) 11/14/2011 650,000 0 650,000 Yes3 HBN Front Street District, Inc. 2/22/2012 1,600,000 0 1,600,000 Yes

Totals $3,775,000 $0 $3,775,000


Page 6 of 45

MINORITY ASSISTANCE SUMMARYFISCAL YEAR ENDING JUNE 30, 2012

GROWTH FUNDAs of 6/30/12

NAME & ADDRESS OF COMPANY OWNERSHIP AMOUNT

1 Atlantic Packaging / NE Packaging, LLC 387 N Main Street Norwich CT 06360 Female $400,000.002 Brooklyn General Repair, Inc. 25 Center Parkway Plainfield CT 06374 Female $250,000.003 Brooklyn General Repair, Inc. 25 Center Parkway Plainfield CT 06374 Female $260,000.004 Carousel Farms 500 Bank Street Waterbury CT 06708 Female $250,000.005 Dermatologic Cosmetic Laboratories LTD. 20 Commerce Street East Haven CT 06512 Female $1,000,000.006 Lithographics, Inc. 55 Spring Lane Farmington CT 06034 Female $703,680.007 QTran, Inc. 304 Bishop Avenue Bridgeport CT 06610 Female $300,000.008 Standard Mattress Company 261 Weston Street Hartford CT 06141 Male $500,000.009 Stone Fabricators, LLC 234 Middle Street Middletown CT 06457 Female $396,500.00

10 Technical Industries, Inc. 336 Pinewoods Road Torrington CT 06790 Female $320,500.00

SALES & USEAs fo 6/30/12


1 R & D Dynamics Corporation 15 Barber Pond Road Bloomfield CT 06002 Female $300,000.00

URBANKAs of 6/30/12


1 Arnold Group, LLC (The) 798 Farmington Avenue West Hartford CT 06119 Male $75,000.002 Connecticut Physical Therapy Specialists, LLC 9 Mill Pond Road Granby CT 06035 Male $15,000.003 D & D Fish Market, LLC 304 Albany Avenue Hartford CT 06120 Female $39,794.004 Dental Arts of Avon, P.C. 9 Avonwood Road Avon CT 06001 Female $60,000.005 East Main Dental, PC 95 E Main Street Meriden CT 06450 Male $3,000.006 El Kiosko, LLC & Independence Properties, LLC 570 Wethersfield Avenue Hartford CT 06114 Female $27,000.007 Elite Security Forces 45 Burritt Street New Britain CT 06050 Male $22,500.00

Page 7 of 45

MINORITY ASSISTANCE SUMMARYFISCAL YEAR ENDING JUNE 30, 2012

8 Engineers Equipment Welding 425 Kossuth Street Bridgeport CT 06608 Male $60,000.009 Giggles & Grins Child Care Center, LLC 21 Cummings Street Southington CT 06489 Female $102,000.00

10 Guardian Angels Homecare, LLC 405 Maple Street Cheshire CT 06410 Female $39,000.0011 Horizons East, LLC 351 Courtland Avenue Stamford CT 06906 Female $75,000.0012 Ledgercare, Inc. 2282 Barnum Avenue Stratford CT 06615 Male $30,000.0013 Mountain Laurel Enterprises, Inc 21 C Andover Drive West Hartford CT 06110 Female $15,000.0014 North Street Laundry, LLC 152 North Street New Britain CT 06051 Male $78,000.0015 Pepper Pot, LLC 9 Center Street Southington CT 06489 Female $15,000.0016 Salt & Pepper, LLC 820 Farmington Avenue Bristol CT 06010 Male $105,000.0017 Shaw's Diesel 797 Amity Road Bethany CT 06524 Female $8,500.0018 Tax Master, Inc. (The) 150 School Street Putnam CT 06260 Female $16,800.0019 Vega Dental, LLC 164 Scott Street Meriden 06450 Male $3,000.00

WORKS FUNDAs of 6/30/12


1 Beacon Industries, Inc. 85 Granby Street Bloomfield CT 06002 Female $1,000,000.002 Beacon Industries, Inc. 85 Granby Street Bloomfield CT 06002 Female $1,500,000.003 Carla's Pasta, Inc. 275 A Progressive Drive Manchester CT 06040 Female $3,180,676.784 Devon Precision Industries, Inc. 251 Munson Road Wolcott CT 06716 Female $1,500,000.005 Northeastern Shaped Wire, Inc. 411 North Main Street Southington CT 06489 Female $250,000.006 R & D Dynamics Corporation 15 Barber Pond Road Bloomfield CT 06002 Female $2,000,000.007 SunnyCor Incorporated 60 Napco Drive Terryville CT 06788 Female $250,000.00

GUAR_AAs of 6/30/12


1 First Class Construction, LLC 190 New Park Drive Berlin CT 06037 Male $250,000.00

Page 8 of 45

October 31, 2012 Philip Siuta, Senior Vice President and Chief Financial Officer Connecticut Development Authority 999 West Street Rocky Hill, CT 06067 Dear Mr. Siuta: We have been engaged by Connecticut Development Authority (CDA) to assist in assembling certain information to be reported to the Commissioner of Economic and Community Development, the Auditors of Public Accounts, and the joint standing committees of the General Assembly having cognizance of matters relating to the Department of Economic and Community Development, appropriations and capital bonding, pursuant to Connecticut General Statute Section 32-11a(c). The necessary information relates to companies that have obtained financial assistance from CDA. It was determined that the best method to obtain the required data, that was not otherwise available, was to survey companies that had obtained financial assistance since July 1, 1991. Our firm was responsible for controlling the surveys/confirmations requesting that information be mailed directly to us. We tracked responses and remitted them to CDA for inclusion in the accompanying report. The results of this survey are included in reports titled:

• New and Outstanding Financing - Total Jobs Retained and Created Summary • New and Outstanding Financing - Total Jobs Created Summary • New and Outstanding Financing Detail • Total Loans - Total Jobs Retained and Created Summary • Total Loans - Total Jobs Created Summary • Supplemental Information

o Health Benefit and Wage Rate Data o Revenue Data

The information provided by participating companies has not been verified or audited. Very truly yours, Whittlesey & Hadley, P.C. Mark R. Torello T:\Clients\CDA\2012 \Accountants Letter 2012.DOCX

Page 9 of 45

EMPLOYMENT INFORMATION

The following information details employment totals as reported by funding recipients from July 1, 1991 to June 30, 2012. The summary pages include employment totals for each program during the above-referenced period; employment totals for new and outstanding funding for each program during the above-referenced period; and the number of jobs to be created and the number of jobs to be retained, as projected in the new and outstanding recipient applications, as well as the actual number of jobs created and the actual number of jobs retained as of June 30, 2012. To ensure the most complete data possible, CDA hires an outside accounting firm to obtain all information requested in section 32-11a(c) of the Connecticut General Statutes and to assist CDA in reporting as much detail as possible to the Legislature. To arrive at current employment levels, CDA or its accounting firm issues employment surveys, and, when necessary, second requests to each recipient of assistance from July 1, 1991 through June 30, 2012. These confirmations were controlled and received by our outside accountants, Whittlesey & Hadley, P.C. When current information is still not available, the CDA uses information from the Department of Labor when available or the most recent in-house information. In the event that a company provides the number of part time jobs, those figures are converted to full-time equivalents.

Page 10 of 45

NEW AND OUTSTANDING FINANCINGTOTAL JOBS RETAINED AND CREATED

7/1/91-6/30/12

FYE 1992 FYE 1993 FYE 1994 FYE 1995 FYE 1996 FYE 1997 FYE 1998 FYE 1999 FYE 2000 FYE 2001 FYE 2002 FYE 2003 FYE 2004 FYE 2005 FYE 2006 FYE 2007 FYE 2008 FYE 2009 FYE 2010 FYE 2011 FYE 2012 (--GRAND TOTALS--)FUND JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @

GROWTH FUND 0 0 5 46 0 45 0 204 0 0 27 29 0 123 62 57 75 208 244 60 69 1,254

GROWTH FUND EQUITY 0 0 0 0 0 0 11 16 0 0 27 0 0 0 0 0 0 0 0 0 0 54

CT WORKS FUND 0 10 1,278 0 0 22 0 0 0 0 444 0 0 0 83 395 625 170 263 130 502 3,922

CT WORKS FUND EQUITY 0 0 0 0 0 0 0 0 0 0 0 0 189 48 0 0 0 0 0 0 0 237

CT WORKS GUARANTEE A

FUND 0 0 0 0 0 0 0 0 0 0 0 0 0 0 16 0 0 36 62 59 0 173

CT WORKS GUARANTEE B

FUND NA 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

URBANK NA 0 2 0 12 0 0 0 0 9 7 5 40 6 10 10 47 29 116 189 121 603

BROWNFIELDS NA NA NA NA NA NA NA NA NA NA NA 0 0 90 0 0 1,633 0 0 0 0 1,723

SALES AND USE TAX RELIEF PROGRAM NA NA NA NA NA NA 0 0 0 0 0 0 0 0 0 0 0 2,716 1,481 3,996 861 9,054

GRAND TOTALS 0 10 1,285 46 12 67 11 220 0 9 505 34 229 267 171 462 2,380 3,159 2,166 4,434 1,553 17,020

The information above refers to the employment detail shown on the following pages.

Page 11 of 45

NEW AND OUTSTANDING FINANCINGTOTAL JOBS CREATED

7/1/91-6/30/12

FYE 1992 FYE 1993 FYE 1994 FYE 1995 FYE 1996 FYE 1997 FYE 1998 FYE 1999 FYE 2000 FYE 2001 FYE 2002 FYE 2003 FYE 2004 FYE 2005 FYE 2006 FYE 2007 FYE 2008 FYE 2009 FYE 2010 FYE 2011 FYE 2012 (GRAND TOTALS)Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs

FUND Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created

GROWTH FUND 0 0 0 0 0 0 0 97 0 0 0 3 0 23 21 38 0 80 20 5 11 298

EQUITY 0 0 0 0 0 0 0 11 0 0 27 0 0 0 0 0 0 0 0 0 38

CT WORKS FUND 0 0 1,261 0 0 0 0 0 0 0 227 0 0 0 0 121 288 37 22 18 125 2,099

CT WORKS FUND EQUITY 0 0 0 0 0 0 0 0 0 0 0 0 188 48 0 0 0 0 0 0 0 236

CT WORKS GUARANTEE A FUND 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4 0 4

CT WORKS GUARANTEE B FUND NA 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

URBANK NA 0 2 0 0 0 0 0 0 9 3 3 7 3 1 0 10 6 44 66 7 161

BROWNFIELDS NA NA NA NA NA NA NA NA NA NA NA 0 0 30 0 0 495 0 0 0 0 525

SALES AND USE TAX RELIEF PROGRAM NA NA NA NA NA NA 0 0 0 0 0 0 0 0 0 0 0 819 164 885 90 1,958

GRAND TOTALS 0 0 1,263 0 0 0 0 108 0 9 257 6 195 104 22 159 793 942 250 978 233 5,319

The information above refers to the employment detail shown on the following pages.

Page 12 of 45

NEW AND OUTSTANDING FINANCING DETAIL7/1/91 - 6/30/12

FUND COMPANY DATE CLOSEDCDA

ASSISTANCEJOBS @ APPLIC.

JOBS TO BE CREATED

ACTUAL JOBS RETAINED

ACTUAL JOBS CREATED

TOTAL ACTUAL JOBS AT 6/30/12

ACTUAL JOBS CREATED VS. JOBS TO BE

REATED

JOBS @ APPLIC. VS. ACTUAL

JOBS RETAINED

BROWNFIELD Daticon, Inc. 10/18/2002 1,000,000 150 100 45 0 0 (100) (150)

BROWNFIELD TOTALS FOR FYE 2003 1,000,000 150 100 45 0 0 (100) (150)

BROWNFIELD Hudson Baylor, Corp. 8/13/2004 470,000 60 35 60 30 90 (5) 0

BROWNFIELD TOTALS FOR FYE 2005 470,000 60 35 60 30 90 (5) 0

BROWNFIELD Legion Square Associates, LLC 9/23/2005 672,874 0 0 0 0 0 0 0

BROWNFIELD TOTALS FOR FYE 2006 672,874 0 0 0 0 0 0 0

BROWNFIELD Goodwin College 9/7/2007 3,000,000 159 0 159 211 370 211 0 BROWNFIELD University of Hartford 11/9/2007 2,500,000 979 0 979 284 1263 284 0

BROWNFIELD TOTALS FOR FYE 2008 5,500,000 1138 0 1138 495 1633 495 0

BROWNFIELD Dayville Property Development, LLC 8/24/2009 1,500,000 0 0 0 0 0 0 0 BROWNFIELD North Haven Commons Development, LP 1/21/2010 2,300,000 0 337 0 0 0 (337) 0

BROWNFIELD TOTALS FOR FYE 2010 3,800,000 0 337 0 0 0 (337) 0

GROWTH Carousel Farms 9/2/1993 250,000 9 6 5 0 5 (6) (4)

GROWTH TOTALS FOR FYE 1994 250,000 9 6 5 0 5 (6) (4)

GROWTH White Hart (The) 6/15/1995 38,000 64 0 46 0 46 0 (18)

GROWTH TOTALS FOR FYE 1995 38,000 64 0 46 0 46 0 (18)

GROWTH White Hart (The) 9/6/1995 18,748 * * * * * * *GROWTH White Hart (The) 10/24/1995 5,600 * * * * * * *GROWTH White Hart (The) 12/5/1995 40,000 * * * * * * *GROWTH White Hart (The) 12/21/1995 56,234 * * * * * * *GROWTH White Hart (The) 3/21/1996 5,681 * * * * * * *

GROWTH TOTALS FOR FYE 1996 126,263 0 0 0 0 0 0 0

GROWTH L. M. Gill Welding & Manufacturing, LLC 6/6/1997 500,000 120 5 45 0 45 (5) (75)


GROWTH Lithographics, Inc. 3/23/1999 375,000 42 6 2 0 2 (6) (40)GROWTH Lake Quassapaug Amusement Park, Inc. 5/15/1999 335,000 105 10 105 97 202 87 0


GROWTH Connecticut Plywood Corp. 10/31/2001 480,000 37 2 27 0 27 (2) (10)GROWTH Lithographics, Inc. 2/15/2002 196,680 * * * * * * *

NOTE: In general, job creation is a 3 year forward looking projection. Therefore, actual jobs created vs. jobs to be created is expected to be negative in the first 3 years. Page 13 of 45




JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED


GROWTH Bagel Stop Production Co. (The) 9/13/2002 16,308 8 4 8 3 11 (1) 0 GROWTH ProTech Services, LLC nka Proguard, LLC 9/30/2002 400,000 13 3 10 0 10 (3) (3)GROWTH Precision Machine Company 11/30/2002 180,000 34 8 8 0 8 (8) (26)GROWTH Precision Machine Company 11/30/2002 160,000 * * * * * * *GROWTH Connecticut Plywood Corp. 12/13/2002 69,784 * * * * * * *GROWTH Bagel Stop Production Co. (The) 12/20/2002 4,804 * * * * * * *GROWTH Lithographics, Inc. 1/31/2003 95,480 * * * * * * *GROWTH Lithographics, Inc. 2/14/2003 36,520 * * * * * * *GROWTH Bagel Stop Production Co. (The) 2/28/2003 4,067 * * * * * * *GROWTH Bagel Stop Production Co. (The) 4/4/2003 4,046 * * * * * * *GROWTH Bagel Stop Production Co. (The) 4/11/2003 900 * * * * * * *GROWTH Bagel Stop Production Co. (The) 5/9/2003 14,982 * * * * * * *GROWTH Bagel Stop Production Co. (The) 6/30/2003 8,961 * * * * * * *


GROWTH Bagel Stop Production Co. (The) 9/19/2003 32,987 * * * * * * *GROWTH Bagel Stop Production Co. (The) 9/30/2003 2,826 * * * * * * *GROWTH Bagel Stop Production Co. (The) 10/24/2003 6,272 * * * * * * *GROWTH Bagel Stop Production Co. (The) 11/7/2003 11,737 * * * * * * *GROWTH Bagel Stop Production Co. (The) 1/31/2004 2,826 * * * * * * *GROWTH Bagel Stop Production Co. (The) 3/5/2004 22,781 * * * * * * *GROWTH Bagel Stop Production Co. (The) 4/9/2004 16,502 * * * * * * *


GROWTH Atlantic Packaging / NE Packaging, LLC 9/17/2004 400,000 52 0 34 0 34 0 (18)GROWTH Technical Industries, Inc. 10/1/2004 100,000 7 6 7 23 30 17 0 GROWTH Technical Industries, Inc. 10/1/2004 220,500 * * * * * * *GROWTH Reno Machine Company, Inc. (The) 6/10/2005 500,000 60 0 59 0 59 0 (1)

GROWTH TOTALS FOR FYE 2005 1,220,500 119 6 100 23 123 17 (19)

GROWTH SAF Industries LLC 2/17/2006 420,000 30 2 25 0 25 (2) (5)GROWTH Modelcraft Co., Inc. 4/28/2006 300,000 16 4 16 21 37 17 0


GROWTH West Service Corp. 10/27/2006 215,000 1 0 1 0 1 0 0 GROWTH Brooklyn General Repair, Inc. 11/17/2006 60,000 * * * * * * *GROWTH Brooklyn General Repair, Inc. 11/17/2006 101,408 * * * * * * *GROWTH Brooklyn General Repair, Inc. 1/12/2007 8,348 * * * * * * *GROWTH International Cordage East, Ltd. 1/12/2007 282,313 18 2 18 38 56 36 0 GROWTH Brooklyn General Repair, Inc. 1/19/2007 8,156 * * * * * * *GROWTH Brooklyn General Repair, Inc. 1/31/2007 17,052 * * * * * * *GROWTH Brooklyn General Repair, Inc. 3/9/2007 42,610 * * * * * * *





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

GROWTH Brooklyn General Repair, Inc. 5/4/2007 22,426 * * * * * * *


GROWTH Standard Mattress Company 7/27/2007 500,000 82 0 60 0 60 0 (22)GROWTH QTran, Inc. 7/30/2007 300,000 21 30 15 0 15 (30) (6)


GROWTH Brooklyn General Repair, Inc. 11/17/2008 250,000 8 4 8 5 13 1 0 GROWTH Prototype & Plastic Mold Co., Inc. 4/20/2009 455,000 65 20 50 0 50 (20) (15)GROWTH Stone Fabricators, LLC 6/18/2009 258,000 32 10 32 1 33 (9) 0 GROWTH Imperial Graphic Communications, Inc. 6/23/2009 250,000 27 0 23 0 23 0 (4)GROWTH Norpaco, Inc. 6/24/2009 156,907 15 5 15 74 89 69 0


GROWTH Stone Fabricators, LLC 8/27/2009 138,500 * * * * * * *GROWTH AGC Incorporated 11/10/2009 41,064 263 0 119 0 119 0 (144)GROWTH Norpaco, Inc. 11/12/2009 109,654 * * * * * * *GROWTH Rice Packaging, Inc. 11/16/2009 333,877 60 0 58 0 58 0 (2)GROWTH AGC Incorporated 11/24/2009 37,245 * * * * * * *GROWTH Norpaco, Inc. 12/7/2009 83,747 * * * * * * *GROWTH Norpaco, Inc. 1/12/2010 131,742 * * * * * * *GROWTH Norpaco, Inc. 2/4/2010 102,240 * * * * * * *GROWTH Spartan Aerospace, LLC 3/4/2010 500,000 47 0 47 20 67 20 0 GROWTH Norpaco, Inc. 3/11/2010 58,689 * * * * * * *GROWTH Rice Packaging, Inc. 3/25/2010 66,600 * * * * * * *GROWTH Norpaco, Inc. 4/6/2010 43,334 * * * * * * *GROWTH AGC Incorporated 4/9/2010 27,486 * * * * * * *GROWTH Norpaco, Inc. 5/10/2010 208,406 * * * * * * *GROWTH Rice Packaging, Inc. 5/11/2010 99,900 * * * * * * *GROWTH Norpaco, Inc. 6/4/2010 202,740 * * * * * * *


GROWTH Norpaco, Inc. 7/2/2010 100,649 * * * * * * *GROWTH Precision Threaded Products, Inc. 7/2/2010 282,500 15 5 15 3 18 (2) 0 GROWTH Reno Machine Company, Inc. (The) 7/16/2010 300,000 * * * * * * *GROWTH Rice Packaging, Inc. 8/4/2010 123,210 * * * * * * *GROWTH Clear Automation, LLC 9/21/2010 300,000 22 7 22 2 24 (5) 0 GROWTH Norpaco, Inc. 10/4/2010 36,658 * * * * * * *GROWTH Rice Packaging, Inc. 12/13/2010 71,595 * * * * * * *GROWTH Norpaco, Inc. 12/16/2010 59,531 * * * * * * *GROWTH Rice Packaging, Inc. 3/2/2011 66,600 * * * * * * *GROWTH Rice Packaging, Inc. 5/16/2011 16,650 * * * * * * *GROWTH Reidville Hydraulics & Mfg., Inc. 6/20/2011 220,000 35 3 18 0 18 (3) (17)

GROWTH TOTALS FOR FYE 2011 1,577,394 72 15 55 5 60 (10) (17)





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

GROWTH Rice Packaging, Inc. 8/18/2011 49,950 * * * * * * *GROWTH Reidville Hydraulics & Mfg., Inc. 8/30/2011 70,000 * * * * * * *GROWTH Genex Turbine Technologies LLC 9/9/2011 100,000 12 8 12 11 23 3 0 GROWTH Reidville Hydraulics & Mfg., Inc. 9/26/2011 60,000 * * * * * * *GROWTH Clear Automation, LLC 11/18/2011 300,000 * * * * * * *GROWTH Genex Turbine Technologies LLC 12/19/2011 384,600 * * * * * * *GROWTH Genex Turbine Technologies LLC 1/9/2012 15,400 * * * * * * *GROWTH Rice Packaging, Inc. 1/17/2012 243,090 * * * * * * *GROWTH Rice Packaging, Inc. 2/16/2012 6,660 * * * * * * *GROWTH Clear Automation, LLC 5/11/2012 200,000 * * * * * * *GROWTH Dermatologic Cosmetic Laboratories LTD. 6/25/2012 500,000 46 5 46 0 46 (5) 0 GROWTH Dermatologic Cosmetic Laboratories LTD. 6/25/2012 500,000 * * * * * * *

GROWTH TOTALS FOR FYE 2012 2,429,700 58 13 58 11 69 (2) 0

GROWTH‐EQT Flexi‐International Software, Inc. 12/1/1997 600,000 44 36 11 0 11 (36) (33)

GROWTH‐EQT TOTALS FOR FYE 1998 600,000 44 36 11 0 11 (36) (33)

GROWTH‐EQT Clearwater Systems, LLC 5/21/1999 300,000 5 41 5 11 16 (30) 0

GROWTH‐EQT TOTALS FOR FYE 1999 300,000 5 41 5 11 16 (30) 0

GROWTH‐EQT I3‐Mobile 12/17/1999 500,000 11 3 0 0 0 (3) (11)GROWTH‐EQT Clearwater Systems, LLC 12/22/1999 12,000 * * * * * * *


GROWTH‐EQT Startech Environmental Corp. 11/17/2000 315,000 8 100 0 0 0 (100) (8)


GROWTH‐EQT Clearwater Systems, LLC 8/31/2001 200,000 * * * * * * *GROWTH‐EQT Hydrofera, LLC 9/28/2001 1,000,000 0 143 0 27 27 (116) 0

GROWTH‐EQT TOTALS FOR FYE 2002 1,200,000 0 143 0 27 27 (116) 0

GUAR_A Pa‐Ted Spring Co., Inc. 8/11/2005 300,000 74 0 16 0 16 0 (58)

GUAR_A TOTALS FOR FYE 2006 300,000 74 0 16 0 16 0 (58)

GUAR_A Gilbertie's Herb Gardens, Inc. 2/11/2009 360,000 42 3 36 0 36 (3) (6)

GUAR_A TOTALS FOR FYE 2009 360,000 42 3 36 0 36 (3) (6)

GUAR_A Finlay Printing, LLC 3/31/2010 750,000 70 0 62 0 62 0 (8)






JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

GUAR_A First Class Construction, LLC 3/17/2011 250,000 13 2 12 0 12 (2) (1)GUAR_A MFT Acquisition, LLC 4/6/2011 500,000 43 0 43 4 47 4 0


SALES AND USE Boehringer Ingelheim Pharmaceuticals 8/12/2008 5,000,000 1850 500 1850 806 2656 306 0 SALES AND USE R & D Dynamics Corporation 11/4/2008 300,000 47 60 47 13 60 (47) 0

SALES AND USE TOTALS FOR FYE 2009 5,300,000 1897 560 1897 819 2716 259 0

SALES AND USE Gartner, Inc. 2/24/2010 1,000,000 842 300 842 161 1003 (139) 0 SALES AND USE Nestle Waters North America, Inc. 3/8/2010 1,000,000 475 25 475 3 478 (22) 0

SALES AND USE TOTALS FOR FYE 2010 2,000,000 1317 325 1317 164 1481 (161) 0

SALES AND USE Starwood Hotels and Resorts Worldwide, Inc 10/15/2010 850,000 0 813 0 635 635 (178) 0 SALES AND USE Frito‐Lay North America, Inc. 11/3/2010 1,500,000 708 0 708 13 721 13 0 SALES AND USE Eppendorf Inc. 11/18/2010 600,000 133 139 133 141 274 2 0 SALES AND USE Anthem Health Plans, Inc. AND The Wellpoint Co. 1/6/2011 860,000 1454 0 1454 13 1467 13 0 SALES AND USE Higher One, Inc. 2/7/2011 1,000,000 171 179 171 83 254 (96) 0 SALES AND USE Pepperidge Farm, Incorporated 6/17/2011 692,000 704 543 645 0 645 (543) (59)

SALES AND USE TOTALS FOR FYE 2011 5,502,000 3170 1674 3111 885 3996 (789) (59)

SALES AND USE Advanced Fusion Systems, LLC 11/11/2011 1,525,000 4 186 4 1 5 (185) 0 SALES AND USE Lee Company (The) 11/14/2011 650,000 767 80 767 89 856 9 0 SALES AND USE HBN Front Street District, Inc. 2/22/2012 1,600,000 * * * * * * *

SALES AND USE TOTALS FOR FYE 2012 3,775,000 771 266 771 90 861 (176) 0

URBANK Engineers Equipment Welding 5/13/1993 60,000 5 0 0 0 0 0 (5)

URBANK TOTALS FOR FYE 1993 60,000 5 0 0 0 0 0 (5)

URBANK Superior Powertrain d/b/a 8/25/1993 48,000 0 5 0 2 2 (3) 0

URBANK TOTALS FOR FYE 1994 48,000 0 5 0 2 2 (3) 0

URBANK Utopia Lodge No. 5, Inc & Queen of Sheba No. 3 7/31/1995 32,000 3 1 3 0 3 (1) 0 URBANK E.O. Manufacturing Co., Inc. 10/19/1995 10,000 19 3 9 0 9 (3) (10)

URBANK TOTALS FOR FYE 1996 42,000 22 4 12 0 12 (4) (10)

URBANK Dygnyti Books 10/22/1998 6,000 2 4 0 0 0 (4) (2)


URBANK Dan Quinlan Grounds Maintenance, LLC 4/27/2000 30,834 2 0 0 0 0 0 (2)





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED


URBANK Beatrice & Buddies, LLC 10/31/2000 27,000 1 0 0 0 0 0 (1)URBANK Giggles & Grins Child Care Center, LLC 11/2/2000 72,000 0 4 0 9 9 5 0


URBANK Giggles & Grins Child Care Center, LLC 7/26/2001 30,000 * * * * * * *URBANK Schulze Manufacturing, Inc. 2/6/2002 30,000 4 0 4 3 7 3 0 URBANK APC Properties 5/17/2002 48,000 3 0 0 0 0 0 (3)URBANK Horizons East, LLC 5/28/2002 33,000 4 1 0 0 0 (1) (4)URBANK Beatrice & Buddies, LLC 6/5/2002 10,500 * * * * * * *


URBANK Shaw's Diesel 1/6/2003 8,500 2 2 0 0 0 (2) (2)URBANK Newland, LLC 3/31/2003 9,000 2 2 2 3 5 1 0 URBANK Richland, LLC 3/31/2003 60,000 1 0 0 0 0 0 (1)


URBANK D & D Fish Market, LLC 7/18/2003 39,794 0 2 0 0 0 (2) 0 URBANK ATV Sales & Service 7/31/2003 7,500 1 1 1 0 1 (1) 0 URBANK Structural Technologies, LLC 11/4/2003 30,000 1 1 1 1 2 0 0 URBANK Spoonshoppe Brook, LLC 12/18/2003 27,000 0 4 0 3 3 (1) 0 URBANK Griffin Electrical Contractors, Inc. 3/17/2004 75,000 31 2 31 3 34 1 0 URBANK Beatrice & Buddies, LLC 6/28/2004 7,514 * * * * * * *

URBANK TOTALS FOR FYE 2004 186,808 33 10 33 7 40 (3) 0

URBANK Ledgercare, Inc. 11/3/2004 30,000 4 3 3 0 3 (3) (1)URBANK Devylder Fuel Oil, LLC 2/16/2005 10,000 0 2 0 0 0 (2) 0 URBANK Structural Technologies, LLC 4/4/2005 30,000 * * * * * * *URBANK Rose Brothers, LLC 6/8/2005 70,000 0 0 0 3 3 3 0


URBANK El Kiosko, LLC & Independence Properties, LLC 9/23/2005 27,000 0 4 0 1 1 (3) 0 URBANK West End Community Center 11/8/2005 6,000 2 0 0 0 0 0 (2)URBANK Bartley Manufacturing, Inc. 11/18/2005 54,600 15 0 9 0 9 0 (6)URBANK Horizons East, LLC 3/28/2006 42,000 * * * * * * *


URBANK New England Awards & Trophies 8/11/2006 19,500 2 0 1 0 1 0 (1)URBANK Citrus, LLC 5/21/2007 56,250 4 2 3 0 3 (2) (1)URBANK Rolando's, LLC 6/21/2007 50,000 12 0 6 0 6 0 (6)





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED


URBANK Lombardi's Ravioli Kitchen, Inc. 8/7/2007 45,000 17 0 0 0 0 0 (17)URBANK Lombardi's Ravioli Kitchen, Inc. 8/7/2007 60,000 * * * * * * *URBANK Pyzzz d/b/a 9/6/2007 57,000 4 2 3 0 3 (2) (1)URBANK Gleeson Mortuary (The) 9/27/2007 105,000 3 0 2 0 2 0 (1)URBANK Petroleum Partners, Inc. 11/29/2007 63,000 5 3 5 3 8 0 0 URBANK Micci & Korolyshun, P.C. 12/3/2007 15,000 6 0 6 0 6 0 0 URBANK Micci & Korolyshun, P.C. 12/3/2007 22,500 * * * * * * *URBANK Safe Harbor Insurance, LLC 12/12/2007 18,000 2 2 0 0 0 (2) (2)URBANK Connecticut Ear, Nose & Throat Specialists, PC 12/17/2007 90,000 9 0 9 3 12 3 0 URBANK New England Awards & Trophies 12/21/2007 47,250 * * * * * * *URBANK Richael, Inc. 1/16/2008 15,000 1 1 0 0 0 (1) (1)URBANK Industrial Electrical & Construction, LLC 3/24/2008 90,000 2 0 2 0 2 0 0 URBANK Prestige Tool Mfg., LLC 3/24/2008 47,250 4 0 4 1 5 1 0 URBANK Prestige Tool Mfg., LLC 3/24/2008 47,250 * * * * * * *URBANK Interstate Glass & Mirror d/b/a 4/7/2008 13,500 4 0 4 1 5 1 0 URBANK On Deck, LLC 5/9/2008 30,000 2 0 0 0 0 0 (2)URBANK Great Hillwood, LLC 5/21/2008 39,000 2 1 2 2 4 1 0 URBANK Richael, Inc. 6/20/2008 90,000 * * * * * * *


URBANK Taber TV , LLC 7/15/2008 15,000 0 1 0 1 1 0 0 URBANK Safe Harbor Insurance, LLC 7/28/2008 12,000 * * * * * * *URBANK Petroleum Partners, Inc. 8/5/2008 22,500 * * * * * * *URBANK Cousins Oil Co., Inc. 8/18/2008 18,000 7 0 5 0 5 0 (2)URBANK Brian Strathman Insurance Agency, LLC 9/3/2008 37,500 1 0 1 0 1 0 0 URBANK Tax Master, Inc. (The) 10/24/2008 6,300 12 0 0 0 0 0 (12)URBANK Tax Master, Inc. (The) 10/24/2008 7,500 * * * * * * *URBANK JL Mainwiring, LLC 11/10/2008 39,826 4 0 4 0 4 0 0 URBANK 365 Capital Avenue Donuts 12/16/2008 45,000 9 9 9 3 12 (6) 0 URBANK Tilwell Petroleum, LLC 2/19/2009 30,000 3 0 3 2 5 2 0 URBANK Paul A. Catalano, Attorney at Law d/b/a 2/26/2009 19,800 1 0 1 0 1 0 0 URBANK Tilwell Petroleum, LLC 3/10/2009 15,000 * * * * * * *


URBANK Bechert Bros. Mfg. Inc. 8/17/2009 45,000 34 0 19 0 19 0 (15)URBANK Donnellan & Sons Landscaping, LLC 9/28/2009 2,400 5 0 5 3 8 3 0 URBANK Tilwell Petroleum, LLC 9/28/2009 15,000 * * * * * * *URBANK Shine Works Auto Wash, LLC 9/30/2009 105,000 10 0 10 3 13 3 0 URBANK Tax Master, Inc. (The) 12/15/2009 3,000 * * * * * * *URBANK Yellowfins Seafood Grille 1/8/2010 25,500 15 0 15 5 20 5 0 URBANK Elite Security Forces 4/27/2010 22,500 20 27 20 33 53 6 0 URBANK Pepper Pot, LLC 5/18/2010 15,000 2 0 2 0 2 0 0 URBANK Thomas C. Bresch Sales 6/22/2010 3,000 1 0 1 0 1 0 0






JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

URBANK Salt & Pepper, LLC 9/8/2010 105,000 9 0 9 6 15 6 0 URBANK Guardian Angels Homecare, LLC 10/4/2010 24,000 81 92 81 44 125 (48) 0 URBANK Murphy Property Services, LLC 1/28/2011 24,450 7 12 7 7 14 (5) 0 URBANK Danielson Adventure Sports, LLC 3/3/2011 15,750 2 0 1 0 1 0 (1)URBANK Dental Arts of Avon, P.C. 3/15/2011 45,000 8 0 6 0 6 0 (2)URBANK Cenaxo, LLC 4/19/2011 45,000 2 4 2 6 8 2 0 URBANK Arnold Group, LLC (The) 4/27/2011 45,000 5 0 4 0 4 0 (1)URBANK ONETENTCO, LLC 4/27/2011 4,500 1 0 0 0 0 0 (1)URBANK East Main Dental, PC 5/6/2011 3,000 4 1 4 2 6 1 0 URBANK Vega Dental, LLC 5/6/2011 3,000 5 1 4 0 4 (1) (1)URBANK Swanson & Dragoli Insurance 6/17/2011 48,000 5 1 5 1 6 0 0


URBANK Garage Media, LLC 7/6/2011 105,000 2 3 2 0 2 (3) 0 URBANK Foley Insurance Group, LLC 8/15/2011 7,500 2 1 1 0 1 (1) (1)URBANK Mariner Capital Partners, LLC 8/15/2011 15,000 3 0 3 0 3 0 0 URBANK North Street Laundry, LLC 8/15/2011 78,000 1 0 0 0 0 0 (1)URBANK Arnold Group, LLC (The) 10/25/2011 30,000 * * * * * * *URBANK Guardian Angels Homecare, LLC 10/25/2011 15,000 * * * * * * *URBANK Dental Arts of Avon, P.C. 10/26/2011 15,000 * * * * * * *URBANK JT Fazz, LLC 1/23/2012 30,000 5 0 3 0 3 0 (2)URBANK JT Fazz, LLC 1/23/2012 7,500 * * * * * * *URBANK Airflow Truck Company 2/14/2012 7,500 1 0 1 0 1 0 0 URBANK Alfin, Fagin & Falce LLP 2/27/2012 15,000 3 0 3 0 3 0 0 URBANK Mountain Laurel Enterprises, Inc 2/27/2012 15,000 9 2 9 0 9 (2) 0 URBANK We Care Computers, LLC 3/14/2012 10,500 4 1 4 0 4 (1) 0 URBANK We Care Computers, LLC 3/14/2012 19,500 * * * * * * *URBANK Connecticut Physical Therapy Specialists, LLC 3/20/2012 15,000 0 1 0 0 0 (1) 0 URBANK Apple Valley Bowling, LLC 5/31/2012 22,500 6 4 6 4 10 0 0 URBANK Harty Press, Inc. (The) 5/31/2012 150,000 75 0 75 3 78 3 0 URBANK IMX Pilates, d/b/a 6/7/2012 36,000 7 0 7 0 7 0 0 URBANK Commercial Asphalt Maintenance, LLC 6/13/2012 16,500 5 7 0 0 0 (7) (5)


WORKS FUND Continental Auto, Ltd. 4/15/1993 276,100 10 0 10 0 10 0 0

WORKS FUND TOTALS FOR FYE 1993 276,100 10 0 10 0 10 0 0

WORKS FUND Science Park Development Corp. 5/27/1994 5,150,000 17 0 17 1261 1278 1261 0

WORKS FUND TOTALS FOR FYE 1994 5,150,000 17 0 17 1261 1278 1261 0

WORKS FUND Captain's Cove Marina, Inc. 4/18/1997 348,460 24 0 22 0 22 0 (2)

WORKS FUND TOTALS FOR FYE 1997 348,460 24 0 22 0 22 0 (2)





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

WORKS FUND Carla's Pasta, Inc. 10/5/2001 216,509 49 0 49 34 83 34 0 WORKS FUND Carla's Pasta, Inc. 11/16/2001 347,431 * * * * * * *WORKS FUND Martin‐Brower Company, LLC (The) 12/21/2001 3,000,000 100 59 100 136 236 77 0 WORKS FUND Carla's Pasta, Inc. 12/31/2001 221,288 * * * * * * *WORKS FUND Carla's Pasta, Inc. 2/8/2002 562,603 * * * * * * *WORKS FUND Porcelen Ltd. CT, LLC 4/12/2002 1,170,000 68 100 68 57 125 (43) 0

WORKS FUND TOTALS FOR FYE 2002 5,517,831 217 159 217 227 444 68 0

WORKS FUND Derecktor Shipyards 7/19/2002 173,510 0 250 0 0 0 (250) 0 WORKS FUND Porcelen Ltd. CT, LLC 8/2/2002 423,700 * * * * * * *WORKS FUND Derecktor Shipyards 8/16/2002 304,970 * * * * * * *WORKS FUND Derecktor Shipyards 9/13/2002 299,902 * * * * * * *WORKS FUND Derecktor Shipyards 10/18/2002 176,609 * * * * * * *WORKS FUND Derecktor Shipyards 11/8/2002 204,778 * * * * * * *WORKS FUND Derecktor Shipyards 12/6/2002 489,544 * * * * * * *WORKS FUND Porcelen Ltd. CT, LLC 12/6/2002 465,700 * * * * * * *WORKS FUND Derecktor Shipyards 1/17/2003 452,275 * * * * * * *WORKS FUND Derecktor Shipyards 2/27/2003 98,412 * * * * * * *

WORKS FUND TOTALS FOR FYE 2003 3,089,400 0 250 0 0 0 (250) 0

WORKS FUND Thompson Brands LLC 3/17/2006 500,000 103 42 83 0 83 (42) (20)

WORKS FUND TOTALS FOR FYE 2006 500,000 103 42 83 0 83 (42) (20)

WORKS FUND Crew Design, Inc. 7/31/2006 150,000 9 30 9 0 9 (30) 0 WORKS FUND Conn. Valley Bindery, Inc. 10/20/2006 404,110 * * * * * * *WORKS FUND Colt Gateway, LLC 11/3/2006 2,115,000 12 4 5 0 5 (4) (7)WORKS FUND Conn. Valley Bindery, Inc. 11/17/2006 106,065 * * * * * * *WORKS FUND Transfer Enterprise, Inc. 11/30/2006 615,000 52 8 43 0 43 (8) (9)WORKS FUND Transfer Enterprise, Inc. 12/8/2006 600 * * * * * * *WORKS FUND Colt Gateway, LLC 1/19/2007 35,000 * * * * * * *WORKS FUND Conn. Valley Bindery, Inc. 1/26/2007 94,246 * * * * * * *WORKS FUND Crew Design, Inc. 2/16/2007 51,700 * * * * * * *WORKS FUND Conn. Valley Bindery, Inc. 3/9/2007 20,343 * * * * * * *WORKS FUND Keystone Paper & Box Co., Inc. 3/9/2007 496,037 15 0 15 40 55 40 0 WORKS FUND Lex Products Corp. 3/30/2007 340,000 100 30 100 81 181 51 0 WORKS FUND Conn. Valley Bindery, Inc. 4/20/2007 8,316 * * * * * * *WORKS FUND AKDO Intertrade, Inc. 5/5/2007 1,024,350 62 13 47 0 47 (13) (15)WORKS FUND GC Industries Corp. 5/18/2007 750,000 87 0 0 0 0 0 (87)WORKS FUND J.F. Fredericks Tool Co., Incorporated 5/18/2007 700,000 73 0 55 0 55 0 (18)WORKS FUND Conn. Valley Bindery, Inc. 5/25/2007 29,219 * * * * * * *WORKS FUND Keystone Paper & Box Co., Inc. 5/30/2007 50,932 * * * * * * *WORKS FUND Lex Products Corp. 6/30/2007 110,000 * * * * * * *

WORKS FUND TOTALS FOR FYE 2007 7,100,918 410 85 274 121 395 36 (136)

WORKS FUND Conn. Valley Bindery, Inc. 7/19/2007 25,000 * * * * * * *





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

WORKS FUND Keystone Paper & Box Co., Inc. 7/20/2007 15,103 * * * * * * *WORKS FUND Carwild Corp. 8/30/2007 1,000,000 30 4 30 16 46 12 0 WORKS FUND Flanagan Brothers, Inc. 9/21/2007 263,000 90 10 90 12 102 2 0 WORKS FUND Flanagan Brothers, Inc. 10/31/2007 165,000 * * * * * * *WORKS FUND Crew Design, Inc. 11/23/2007 148,300 * * * * * * *WORKS FUND Flanagan Brothers, Inc. 12/7/2007 440,917 * * * * * * *WORKS FUND Keystone Paper & Box Co., Inc. 12/31/2007 42,382 * * * * * * *WORKS FUND CBS Manufacturing Company 2/28/2008 1,240,000 35 14 33 0 33 (14) (2)WORKS FUND Flanagan Brothers, Inc. 3/7/2008 565,600 * * * * * * *WORKS FUND Keystone Paper & Box Co., Inc. 3/7/2008 23,063 * * * * * * *WORKS FUND Flanagan Brothers, Inc. 3/28/2008 512,483 * * * * * * *WORKS FUND FuelCell Energy 4/29/2008 628,185 184 150 184 260 444 110 0 WORKS FUND AKDO Intertrade, Inc. 5/2/2008 91,482 * * * * * * *WORKS FUND Keystone Paper & Box Co., Inc. 6/13/2008 12,483 * * * * * * *


WORKS FUND FuelCell Energy 7/14/2008 1,896,549 * * * * * * *WORKS FUND FuelCell Energy 10/3/2008 1,038,942 * * * * * * *WORKS FUND PDC International Corp. 10/3/2008 750,000 55 2 55 0 55 (2) 0 WORKS FUND Atticus Bakery, LLC 10/15/2008 850,000 * * * * * * *WORKS FUND HSB Aircraft Components, LLC 10/22/2008 225,000 8 4 8 8 16 4 0 WORKS FUND CBS Manufacturing Company 11/24/2008 496,800 * * * * * * *WORKS FUND FuelCell Energy 1/13/2009 436,324 * * * * * * *WORKS FUND Alden Tool Company, Inc. 2/6/2009 272,500 25 10 22 0 22 (10) (3)WORKS FUND Flanagan Brothers, Inc. 2/13/2009 963,900 * * * * * * *WORKS FUND Acucut, Inc. 4/30/2009 800,000 38 0 38 19 57 19 0 WORKS FUND SunnyCor Incorporated 5/19/2009 250,000 10 3 10 10 20 7 0 WORKS FUND R & D Dynamics Corporation 6/8/2009 324,200 * * * * * * *


WORKS FUND R & D Dynamics Corporation 7/1/2009 296,772 * * * * * * *WORKS FUND Beacon Industries, Inc. 7/29/2009 1,000,000 * * * * * * *WORKS FUND R & D Dynamics Corporation 8/12/2009 380,551 * * * * * * *WORKS FUND R & D Dynamics Corporation 8/31/2009 407,333 * * * * * * *WORKS FUND Devon Precision Industries, Inc. 10/7/2009 325,000 98 30 84 0 84 (30) (14)WORKS FUND Devon Precision Industries, Inc. 10/7/2009 1,175,000 * * * * * * *WORKS FUND L. M. Gill Welding & Manufacturing, LLC 10/15/2009 100,000 * * * * * * *WORKS FUND L. M. Gill Welding & Manufacturing, LLC 11/12/2009 100,000 * * * * * * *WORKS FUND R & D Dynamics Corporation 11/12/2009 591,144 * * * * * * *WORKS FUND AGC Incorporated 12/8/2009 217,120 * * * * * * *WORKS FUND Connecticut Solid Surface, LLC 12/16/2009 500,000 23 2 23 17 40 15 0 WORKS FUND Apple Valley Woodworks, LLC 12/29/2009 750,000 91 9 0 0 0 (9) (91)WORKS FUND L. M. Gill Welding & Manufacturing, LLC 12/29/2009 100,000 * * * * * * *WORKS FUND Conn. Valley Bindery, Inc. 1/22/2010 239,300 26 15 26 1 27 (14) 0 WORKS FUND Conn. Valley Bindery, Inc. 2/2/2010 56,700 * * * * * * *WORKS FUND L. M. Gill Welding & Manufacturing, LLC 2/25/2010 100,000 * * * * * * *WORKS FUND L. M. Gill Welding & Manufacturing, LLC 3/16/2010 100,000 * * * * * * *





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

WORKS FUND Jaffe Holden Acoustics, Inc. 4/28/2010 500,000 22 8 22 0 22 (8) 0 WORKS FUND Alpha Q, Inc. 6/28/2010 600,000 86 13 86 4 90 (9) 0

WORKS FUND TOTALS FOR FYE 2010 7,538,920 346 77 241 22 263 (55) (105)

WORKS FUND Alpha Q, Inc. 7/7/2010 82,000 * * * * * * *WORKS FUND New England Seating Company LLC 7/12/2010 620,000 34 0 20 0 20 0 (14)WORKS FUND Alpha Q, Inc. 7/28/2010 465,000 * * * * * * *WORKS FUND N.E. Food Allergy Treatment Center, LLC 11/16/2010 250,000 3 6 3 2 5 (4) 0 WORKS FUND Carla's Pasta, Inc. 12/14/2010 733,000 * * * * * * *WORKS FUND Phoenix Products Company 2/9/2011 436,691 36 2 36 1 37 (1) 0 WORKS FUND Atlantic Pulp 3/18/2011 115,500 0 9 0 3 3 (6) 0 WORKS FUND Porcelen Ltd. CT, LLC 3/24/2011 480,000 * * * * * * *WORKS FUND AGC Incorporated 5/5/2011 750,000 * * * * * * *WORKS FUND Schulz Electric Company (The) 6/22/2011 59,000 53 24 53 12 65 (12) 0

WORKS FUND TOTALS FOR FYE 2011 3,991,191 126 41 112 18 130 (23) (14)

WORKS FUND Schulz Electric Company (The) 7/22/2011 47,250 * * * * * * *WORKS FUND Schulz Electric Company (The) 8/18/2011 72,500 * * * * * * *WORKS FUND HSB Aircraft Components, LLC 8/31/2011 76,000 * * * * * * *WORKS FUND Schulz Electric Company (The) 9/30/2011 81,920 * * * * * * *WORKS FUND Carla's Pasta, Inc. 10/3/2011 641,577 * * * * * * *WORKS FUND B & F Design, Incorporated 10/12/2011 800,000 34 12 34 11 45 (1) 0 WORKS FUND Quality Sales 10/14/2011 200,000 80 20 0 0 0 (20) (80)WORKS FUND Quality Sales 10/14/2011 200,000 * * * * * * *WORKS FUND HSB Aircraft Components, LLC 10/21/2011 105,000 * * * * * * *WORKS FUND Quality Sales 10/26/2011 200,000 * * * * * * *WORKS FUND Schulz Electric Company (The) 11/8/2011 98,800 * * * * * * *WORKS FUND Ramdy Corporation 11/18/2011 250,000 34 3 34 2 36 (1) 0 WORKS FUND Beacon Industries, Inc. 12/8/2011 1,500,000 119 0 119 70 189 70 0 WORKS FUND Schulz Electric Company (The) 12/16/2011 40,530 * * * * * * *WORKS FUND Carla's Pasta, Inc. 12/19/2011 274,961 * * * * * * *WORKS FUND Broadstar Wind Corporation 1/3/2012 500,000 0 62 0 7 7 (55) 0 WORKS FUND Amco Precision Tools, Inc. 2/8/2012 450,000 19 0 19 23 42 23 0 WORKS FUND Amco Precision Tools, Inc. 2/8/2012 230,000 * * * * * * *WORKS FUND Carla's Pasta, Inc. 3/12/2012 183,307 * * * * * * *WORKS FUND Northeastern Shaped Wire, Inc. 3/22/2012 250,000 25 0 25 3 28 3 0 WORKS FUND mk North America, Inc. 4/27/2012 850,000 31 18 31 3 34 (15) 0 WORKS FUND mk North America, Inc. 4/27/2012 300,000 * * * * * * *WORKS FUND Broadstar Wind Corporation 5/3/2012 1,500,000 * * * * * * *WORKS FUND Bantam Supply Co., Inc. 5/18/2012 500,000 41 0 40 0 40 0 (1)WORKS FUND Supreme‐Lake Mfg., Inc. 5/31/2012 750,000 130 0 70 0 70 0 (60)WORKS FUND Aperture Optical Sciences, Inc. 6/1/2012 350,000 5 9 5 6 11 (3) 0


WORKS‐EQTY Adriaen's Landing Hotel 9/3/2003 835,740 1 259 1 188 189 (71) 0 WORKS‐EQTY Adriaen's Landing Hotel 11/28/2003 72,700 * * * * * * *





JOBS TO BE CREATED


ACTUAL JOBS CREATED



REATED


JOBS RETAINED

WORKS‐EQTY Adriaen's Landing Hotel 1/16/2004 181,750 * * * * * * *WORKS‐EQTY Adriaen's Landing Hotel 3/19/2004 218,100 * * * * * * *WORKS‐EQTY Adriaen's Landing Hotel 5/7/2004 319,880 * * * * * * *

WORKS‐EQTY TOTALS FOR FYE 2004 1,628,170 1 259 1 188 189 (71) 0

WORKS‐EQTY Adriaen's Landing Hotel 7/30/2004 181,750 * * * * * * *WORKS‐EQTY Adriaen's Landing Hotel 8/31/2004 189,330 * * * * * * *WORKS‐EQTY Adriaen's Landing Hotel 11/12/2004 750 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 11/19/2004 2,000,233 0 40 0 48 48 8 0 WORKS‐EQTY Northland Two Pillars, LLC 12/10/2004 4,147,061 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 1/14/2005 1,310,672 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 2/11/2005 418,303 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 3/11/2005 447,652 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 4/15/2005 448,720 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 5/20/2005 443,464 * * * * * * *WORKS‐EQTY Northland Two Pillars, LLC 6/10/2005 283,895 * * * * * * *

WORKS‐EQTY TOTALS FOR FYE 2005 9,871,830 0 40 0 48 48 8 0


TOTAL LOANS TOTAL JOBS RETAINED AND CREATED

7/1/91-6/30/12

FYE 1992 FYE 1993 FYE 1994 FYE 1995 FYE 1996 FYE 1997 FYE 1998 FYE 1999 FYE 2000 FYE 2001 FYE 2002 FYE 2003 FYE 2004 FYE 2005 FYE 2006 FYE 2007 FYE 2008 FYE 2009 FYE 2010 FYE 2011 FYE 2012 (--GRAND TOTALS--)FUND JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @ JOBS @

ACTIVE PROGRAMS:

GROWTH FUND 970 1,931 1,137 492 138 257 316 605 463 786 883 364 116 281 220 40 60 163 256 170 69 9,717

GROWTH FUND - EQUITY 0 0 0 45 0 0 0 16 0 0 49 0 0 0 0 0 0 0 0 0 0 110

CT WORKS FUND 40 708 1,588 1,237 2,531 920 607 58 58 1,536 125 2 43 0 144 280 181 113 440 199 201 11,011

CT WORKS FUND - EQUITY 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

CT WORKS GUARANTEE A FUND 46 631 178 71 145 440 0 0 66 15 0 0 0 0 0 0 0 49 62 59 0 1,762

CT WORKS GUARANTEE A FUND NA 4,336 1,860 915 665 716 32 310 79 0 13 0 0 0 0 0 0 0 0 0 0 8,926

URBANK NA 179 767 377 1,038 245 605 148 67 204 79 460 86 48 49 30 61 62 97 188 121 4,911

BROWNFIELDS NA NA NA NA NA NA NA NA NA NA NA 45 0 90 0 0 1,633 0 0 0 0 1,768

SALES AND USE TAX RELIEF PROGRAM NA NA NA NA NA NA 1,946 4,800 1,378 10,502 1,926 4 6,618 1,811 4,031 16,745 3,134 1,549 5,829 3,351 5 63,629

SUNSETTED PROGRAMS: ENVIRONMENTAL CLEAN-

UP 41 32 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 73

ENVIRONMENTAL ASST. TO BUSINESS NA NA 13 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 13

ENV. ASST. TO BUSINESS - FAVRS NA NA NA 60 32 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 93

ENTREPRENEURIAL LOAN PROGRAM NA NA NA NA NA 13 6 8 0 0 0 0 0 0 0 0 0 0 0 0 0 27

JOB TRAINING FINANCE PROGRAM NA NA NA NA NA 422 1,727 1,467 539 722 772 33 0 0 0 0 0 0 0 0 0 5,682

GRAND TOTALS 1,097 7,817 5,543 3,197 4,549 3,014 5,239 7,412 2,650 13,765 3,847 908 6,863 2,230 4,444 17,095 5,069 1,936 6,684 3,967 396 107,722

Page 25 of 45

TOTAL LOANS TOTAL JOBS CREATED

7/1/91-6/30/12

FYE 1992 FYE 1993 FYE 1994 FYE 1995 FYE 1996 FYE 1997 FYE 1998 FYE 1999 FYE 2000 FYE 2001 FYE 2002 FYE 2003 FYE 2004 FYE 2005 FYE 2006 FYE 2007 FYE 2008 FYE 2009 FYE 2010 FYE 2011 FYE 2012 (GRAND TOTALS)Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs Jobs

FUND Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created Created

ACTIVE PROGRAMS:GROWTH FUND 143 917 528 168 4 63 193 267 147 291 141 35 43 100 81 20 0 2 20 5 11 3,179

GROWTH FUND - EQUITY 0 0 0 0 0 0 0 11 0 0 41 0 0 0 0 0 0 0 0 0 0 52

CT WORKS FUND 0 98 1,277 252 1,245 207 170 30 14 442 57 0 0 0 12 81 28 18 91 35 32 4,089

CT WORKS FUND - EQUITY 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

CT WORKS GUARANTEE A FUND 0 31 95 0 0 0 0 0 0 15 0 0 0 0 0 0 0 0 0 4 0 145

CT WORKS GUARANTEE B FUND NA 669 232 107 233 332 0 122 0 0 0 0 0 0 0 0 0 0 0 0 0 1,695

URBAK NA 65 400 75 799 39 355 45 32 110 24 238 12 28 20 11 9 31 44 66 7 2,410

BROWNFIELDS NA NA NA NA NA NA NA NA NA NA NA 0 0 30 0 0 495 0 0 0 0 525

SALES AND USE TAX RELIEF PROGRAM NA NA NA NA NA NA 1,375 374 0 1,311 328 0 2,745 1,420 1502 547 239 556 2,512 885 1 13,795

SUNSETTED PROGRAMS:ENVIRONMENTAL

CLEAN-UP 7 7 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 14

ENVIRONMENTAL ASST. TO BUSINESS NA NA 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

ENV. ASST. TO BUSINESS - FAVRS NA NA NA 22 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 23

ENTREPRENEURIAL LOAN PROGRAM NA NA NA NA NA 9 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 9

JOB TRAINING FINANCE PROGRAM NA NA NA NA NA 166 171 271 116 206 67 0 0 0 0 0 0 0 0 0 0 997

GRAND TOTALS 150 1,787 2,532 624 2,282 816 2,264 1,120 309 2,375 658 273 2,800 1,578 1,615 659 771 607 2,667 995 51 26,933

Page 26 of 45

LOANS CLOSED FISCAL YEAR ENDING JUNE 30, 2012FULL AND PART-TIME JOBS CREATED AND RETAINED

GROWTH FUND

Date Full Time Jobs Full Time Jobs Part Time Jobs Part Time JobsCompany Closed Retained Created Retained Created

1 Rice Packaging, Inc. 8/18/2011 56 0 0 42 Reidville Hydraulics & Mfg., Inc. 8/30/2011 18 0 0 03 Genex Turbine Technologies LLC 9/9/2011 12 11 1 04 Reidville Hydraulics & Mfg., Inc. 9/26/2011 * * * *5 Clear Automation, LLC 11/18/2011 21 3 1 06 Genex Turbine Technologies LLC 12/19/2011 * * * *7 Genex Turbine Technologies LLC 1/9/2012 * * * *8 Rice Packaging, Inc. 1/17/2012 * * * *9 Rice Packaging, Inc. 2/16/2012 * * * *

10 Clear Automation, LLC 5/11/2012 * * * *11 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 44 0 4 012 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 * * * *

WORKS FUND


1 Schulz Electric Company (The) 7/22/2011 52 12 3 02 Schulz Electric Company (The) 8/18/2011 * * * *3 HSB Aircraft Components, LLC 8/31/2011 8 8 0 04 Schulz Electric Company (The) 9/30/2011 * * * *5 Carla's Pasta, Inc. 10/3/2011 49 32 0 46 B & F Design, Incorporated 10/12/2011 33 11 2 17 Quality Sales 10/14/2011 80 20 0 08 Quality Sales 10/14/2011 * * * *9 HSB Aircraft Components, LLC 10/21/2011 * * * *

10 Quality Sales 10/26/2011 * * * *11 Schulz Electric Company (The) 11/8/2011 * * * *12 Ramdy Corporation 11/18/2011 33 3 2 013 Beacon Industries, Inc. 12/8/2011 119 70 0 0

* Companies receiving multiple draws or loans, job information is provided for the first draw or loan only.

Page 27 of 45


WORKS FUND


14 Schulz Electric Company (The) 12/16/2011 * * * *15 Carla's Pasta, Inc. 12/19/2011 * * * *16 Broadstar Wind Corporation 1/3/2012 0 7 0 017 Amco Precision Tools, Inc. 2/8/2012 19 23 0 018 Amco Precision Tools, Inc. 2/8/2012 * * * *19 Carla's Pasta, Inc. 3/12/2012 * * * *20 Northeastern Shaped Wire, Inc. 3/22/2012 24 4 3 021 mk North America, Inc. 4/27/2012 31 3 1 022 mk North America, Inc. 4/27/2012 * * * *23 Broadstar Wind Corporation 5/3/2012 * * * *24 Bantam Supply Co., Inc. 5/18/2012 31 0 18 125 Supreme-Lake Mfg., Inc. 5/31/2012 65 0 10 026 Aperture Optical Sciences, Inc. 6/1/2012 4 7 2 0

URBANK CAPITAL ACCESS


1 Garage Media, LLC 7/6/2011 2 0 1 02 Foley Insurance Group, LLC 8/15/2011 1 0 0 03 Mariner Capital Partners, LLC 8/15/2011 3 0 0 04 North Street Laundry, LLC 8/15/2011 0 0 0 05 Arnold Group, LLC (The) 10/25/2011 2 0 0 46 Guardian Angels Homecare, LLC 10/25/2011 23 49 106 07 Dental Arts of Avon, P.C. 10/26/2011 5 0 2 08 JT Fazz, LLC 1/23/2012 3 0 1 09 JT Fazz, LLC 1/23/2012 * * * *

10 Airflow Truck company 2/14/2012 1 0 1 011 Alfin, Fagin & Falce LLP 2/27/2012 3 0 0 0


Page 28 of 45




12 Mountain Laurel Enterprises, Inc 2/27/2012 8 0 2 013 We Care Computers, LLC 3/14/2012 4 0 0 014 We Care Computers, LLC 3/14/2012 * * * *15 Connecticut Physical Therapy Specialists, LLC 3/20/2012 0 0 0 116 Apple Valley Bowling, LLC 5/31/2012 2 1 8 617 Harty Press, Inc. (The) 5/31/2012 74 4 1 018 IMX Pilates, d/b/a 6/7/2012 0 0 14 019 Commercial Asphalt Maintenance, LLC 6/13/2012 0 0 3 0

SALES AND USE


1 Advanced Fusion Systems, LLC 11/11/2011 4 1 0 02 Lee Company (The) 11/14/2011 767 89 0 03 HBN Front Street District, Inc. 2/22/2012 0 0 0 0


Page 29 of 45

SUPPLEMENTAL INFORMATION - HEALTH BENEFIT AND WAGE RATE DATAFOR FISCAL YEAR ENDING JUNE 30, 2012

Client Name

Average Wage Rates Full‐time Jobs

Retained

Average Wage Rates Full‐time Jobs Created

Average Wage Rates Part‐time Jobs Retained

Average Wage Rates Part‐time Jobs Created

Health Benefits Part‐time

Health Benefits Full‐time

Garage Media, LLC 30,000.00 N/A 6,240.00 6,240.00 No NoSchulz Electric Company (The) 56,000.00 54,000.00 32,000.00 N/A Yes NoFoley Insurance Group, LLC 56,000.00 40,000.00 N/A N/A No NoMariner Capital Partners, LLC 160,000.00 104,000.00 N/A N/A Yes NoNorth Street Laundry, LLC N/A N/A N/A 10,000.00 No NoRice Packaging, Inc. 45,616.12 38,313.33 8,730.17 N/A Yes NoReidville Hydraulics & Mfg., Inc. 41,000.00 N/A N/A N/A Yes NoHSB Aircraft Components, LLC 28,461.00 28,333.00 14,230.00 14,166.00 Yes NoGenex Turbine Technologies LLC 32,888.85 37,500.00 18,541.67 N/A Yes NoCarla's Pasta, Inc. 52,231.00 42,221.00 7,144.00 4,500.00 Yes NoB & F Design, Incorporated 31,834.00 18,566.35 34,019.65 N/A Yes NoQuality Sales 29,401.31 16,250.00 N/A N/A Yes NoArnold Group, LLC (The) 22,087.00 N/A N/A 5,274.60 Yes NoGuardian Angels Homecare, LLC 43,750.00 43,750.00 10,140.00 10,140.00 Yes NoDental Arts of Avon, P.C. 14,783.00 18,138.00 2,630.00 5,203.00 Yes NoAdvanced Fusion Systems, LLC 87,365.00 78,333.33 N/A N/A Yes N/ALee Company (The) 91,000.00 48,028.00 N/A N/A Yes N/AClear Automation, LLC 75,700.00 52,013.00 8,320.00 N/A Yes NoRamdy Corporation 44,363.64 23,333.00 22,181.82 11,666.50 Yes NoBeacon Industries, Inc. 67,219.31 63,492.06 N/A N/A Yes NoBroadstar Wind Corporation N/A 85,714.00 N/A N/A Yes NoJT Fazz, LLC 29,090.91 39,520.00 N/A 20,000.00 No NoAmco Precision Tools, Inc. 53,000.00 51,766.00 N/A N/A Yes N/AAirflow Truck Company 12,000.00 N/A 6,000.00 5,000.00 No NoHBN Front Street District, Inc. N/A N/A N/A N/A N/A N/AAlfin, Fagin & Falce LLP 50,000.00 N/A N/A N/A Yes NoMountain Laurel Enterprises, Inc 38,365.25 30,000.00 19,182.53 0.00 Yes NoWe Care Computers, LLC 48,183.00 N/A N/A N/A No NoConnecticut Physical Therapy Specialists, LLC N/A Start-up N/A Start-up No NoNortheastern Shaped Wire, Inc. 43,750.00 N/A 20,588.00 N/A Yes Nomk North America, Inc. 64,580.00 47,778.00 32,290.00 N/A Yes NoBantam Supply Co., Inc. 60,500.00 49,300.00 8,500.00 8,500.00 Yes NoApple Valley Bowling, LLC 68,466.00 68,466.00 7,243.00 7,243.00 Yes NoHarty Press, Inc. (The) 18,334.00 N/A 6,000.00 Yes NoSupreme‐Lake Mfg., Inc. 30,000.00 30,000.00 15,000.00 15,000.00 Yes NoAperture Optical Sciences, Inc. 60,000.00 55,555.00 30,000.00 N/A No NoIMX Pilates, d/b/a N/A N/A 7,591.57 N/A No NoCommercial Asphalt Maintenance, LLC 49,400.00 27,040.00 15,600.00 15,600.00 Yes YesDermatologic Cosmetic Laboratories LTD. 54,000.00 54,000.00 27,000.00 27,000.00 Yes No

Page 30 of 45

SUPPLEMENTAL INFORMATION - REVENUE DATA

FOR FISCAL YEAR ENDING JUNE 30, 2012

Company Annual RevenuesCompany A Start-upCompany B Start-upCompany C Start-upCompany D Start-upCompany E Start-upCompany F 12,848Company G 28,900Company H 119,033Company I 158,957Company J 240,147Company K 437,487Company L 484,208Company M 759,000Company N 843,725Company O 899,235Company P 900,000Company Q 1,084,347Company R 1,139,850Company S 1,173,180Company T 1,300,000Company U 2,879,000Company V 3,200,000Company W 3,320,683Company X 3,500,000Company Y 3,603,000Company Z 4,782,000

Company AA 5,919,000Company BB 7,450,000Jobtarget LLC 7,805,060Company DD 8,300,000Company EE 9,300,000Company FF 11,734,031Company GG 12,000,000Company HH 12,150,000Company 11 18,381,580Company JJ 22,904,586Company KK 25,163,205Company LL 40,394,112Company MM 227,952,354

Page 31 of 45

LOANS CLOSED - GENERAL INFORMATION FOR FISCAL YEAR ENDING JUNE 30, 2012

GROWTH FUNDDate Business SIC or

Company Closed Address Location Activity NAIC Code

1 Rice Packaging, Inc. 8/18/2011 356 Somers Road Ellington, CT 06029 Ellington Mfg 3222122 Reidville Hydraulics & Mfg., Inc. 8/30/2011 175 Industrial Lane Torrington, CT 06790 Torrington Mfg 3339963 Genex Turbine Technologies LLC 9/9/2011 135 Sheldon Road Manchester, CT 06042 Manchester Mfg 3364124 Reidville Hydraulics & Mfg., Inc. 9/26/2011 175 Industrial Lane Torrington, CT 06790 Torrington Mfg 3339965 Clear Automation, LLC 11/18/2011 85 Robert Porter Drive Southington, CT 06489 Southington Mfg 3339996 Genex Turbine Technologies LLC 12/19/2011 135 Sheldon Road Manchester, CT 06042 Manchester Mfg 3364127 Genex Turbine Technologies LLC 1/9/2012 135 Sheldon Road Manchester, CT 06042 Manchester Mfg 3364128 Rice Packaging, Inc. 1/17/2012 356 Somers Road Ellington, CT 06029 Ellington Mfg 3222129 Rice Packaging, Inc. 2/16/2012 356 Somers Road Ellington, CT 06029 Ellington Mfg 32221210 Clear Automation, LLC 5/11/2012 85 Robert Porter Drive Southington, CT 06489 Southington Mfg 33399911 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 20 Commerce Street East Haven, CT 06512 East Haven Mfg 32562012 Dermatologic Cosmetic Laboratories LTD. 6/25/2012 20 Commerce Street East Haven, CT 06512 East Haven Mfg 325620

WORKS FUND

Date Business SIC orCompany Closed Address Location Activity NAIC Code

1 Schulz Electric Company (The) 7/22/2011 30 Gando Drive New Haven, CT 06513 New Haven Mfg 3353122 Schulz Electric Company (The) 8/18/2011 30 Gando Drive New Haven, CT 06513 New Haven Mfg 3353123 HSB Aircraft Components, LLC 8/31/2011 80 Production CT New Britain, CT 06051 New Britain Mfg 3364124 Schulz Electric Company (The) 9/30/2011 30 Gando Drive New Haven, CT 06513 New Haven Mfg 3353125 Carla's Pasta, Inc. 10/3/2011 50 Talbot Lane South Windsor, CT 06074 South Windsor Mfg 3118236 B & F Design, Incorporated 10/12/2011 120 Production Court New Britian, CT 06051 New Britian Mfg 5413407 Quality Sales 10/14/2011 101 Reserve Road Hartford, CT 06114 Hartford Distrib/Whsing 4244808 Quality Sales 10/14/2011 101 Reserve Road Hartford, CT 06114 Hartford Distrib/Whsing 4244809 HSB Aircraft Components, LLC 10/21/2011 80 Production CT New Britain, CT 06051 New Britain Mfg 33641210 Quality Sales 10/26/2011 101 Reserve Road Hartford, CT 06114 Hartford Distrib/Whsing 42448011 Schulz Electric Company (The) 11/8/2011 30 Gando Drive New Haven, CT 06513 New Haven Mfg 33531212 Ramdy Corporation 11/18/2011 40 McLennan Drive Oakville, CT 06779 Oakville Mfg 33351213 Beacon Industries, Inc. 12/8/2011 549 Cedar Street Newington, CT 06111 Newington Mfg 336412

Page 32 of 45


WORKS FUND


14 Schulz Electric Company (The) 12/16/2011 30 Gando Drive New Haven, CT 06513 New Haven Mfg 33531215 Carla's Pasta, Inc. 12/19/2011 50 Talbot Lane South Windsor, CT 06074 South Windsor Mfg 31182316 Broadstar Wind Corporation 1/3/2012 10 Columbus Blvd. 4th Fl Hartford, CT 06106 Hartford Mfg 22111917 Amco Precision Tools, Inc. 2/8/2012 921 Farmington Avenue Berlin, CT Berlin Mfg 33641218 Amco Precision Tools, Inc. 2/8/2012 921 Farmington Avenue Berlin, CT Berlin Mfg 33641219 Carla's Pasta, Inc. 3/12/2012 50 Talbot Lane South Windsor, CT 06074 South Windsor Mfg 31182320 Northeastern Shaped Wire, Inc. 3/22/2012 411 North Main Street Southington, CT 06489 Southington Mfg 332618

21 mk North America, Inc. 4/27/2012 105 125 Highland Park Drive Bloomfield, CT 06002 Bloomfield Mfg 333922

22 mk North America, Inc. 4/27/2012 105 125 Highland Park Drive Bloomfield, CT 06002 Bloomfield Mfg 33392223 Broadstar Wind Corporation 5/3/2012 10 Columbus Blvd. 4th Fl Hartford, CT 06106 Hartford Mfg 22111924 Bantam Supply Co., Inc. 5/18/2012 99 Lake Road Litchfield, CT 06750 Litchfield Other 45431125 Supreme-Lake Mfg., Inc. 5/31/2012 455 Atwater Street Plantsville, CT 06479 Plantsville Mfg 33272126 Aperture Optical Sciences, Inc. 6/1/2012 27 Parson Lane Durham, CT 06422 Durham Mfg 333314



1 Garage Media, LLC 7/6/2011 750 Main Street Hartford, CT 06103 Hartford Service 541850

2 Foley Insurance Group, LLC 8/15/2011 41 B. New London Turnpike Glastonbury, CT 06033 Glastonbury Service 5242103 Mariner Capital Partners, LLC 8/15/2011 223 Eastern Blvd Glastonbury, CT 06033 Glastonbury Service 5239304 North Street Laundry, LLC 8/15/2011 152 North Street New Britain, CT 06051 New Britain Service 8123105 Arnold Group, LLC (The) 10/25/2011 798 Farmington Avenue West Hartford, CT 06119 West Hartford Other 5419906 Guardian Angels Homecare, LLC 10/25/2011 405 Maple Street Cheshire, CT 06410 Cheshire Service 620007 Dental Arts of Avon, P.C. 10/26/2011 9 Avonwood Road Avon, CT 06001 Avon Service 6212108 JT Fazz, LLC 1/23/2012 100 Research Parkway Meriden, CT 06450 Meriden Service 8111119 JT Fazz, LLC 1/23/2012 100 Research Parkway Meriden, CT 06450 Meriden Service 811111

Page 33 of 45


10 Airflow Truck company 2/14/2012 32 Old Musket Drive Newington, CT 06111 Newington Mfg 33600011 Alfin, Fagin & Falce LLP 2/27/2012 231 Farmington Avenue Farmington, CT 06032 Farmington Service 541211



12 Mountain Laurel Enterprises, Inc 2/27/2012 21 C. Andover Drive West Hartford, CT 06110 West Hartford Other 23611813 We Care Computers, LLC 3/14/2012 2437 Albany Avenue West Hartford, CT 06117 West Hartford Service 81121214 We Care Computers, LLC 3/14/2012 2437 Albany Avenue West Hartford, CT 06117 West Hartford Service 81121215 Connecticut Physical Therapy Specialists, LLC 3/20/2012 9 Mill Pond Road Granby, CT 06035 Granby Other 54199016 Apple Valley Bowling, LLC 5/31/2012 1304 S. Main Street Plantsville, CT 06479 Plantsville Service 71395017 Harty Press, Inc. (The) 5/31/2012 25 James Street New Haven, CT 06513 New Haven Mfg 32311018 IMX Pilates, d/b/a 6/7/2012 534 Boston Post Road Guilford, CT 06437 Guilford Other 71394019 Commercial Asphalt Maintenance, LLC 6/13/2012 101 East Main Street Plainville, CT 06062 Plainville Other 235900

SALES AND USE


1 Advanced Fusion Systems, LLC 11/11/2011 11 Edmund Road Newtown, CT 06470 Newtown Mfg 3344112 Lee Company (The) 11/14/2011 Pequot Park Road Westbrook, CT 06498 Westbrook Mfg 38233 HBN Front Street District, Inc. 2/22/2012 Front Street District Hartford, CT 06103 Hartford Developer 531110

Page 34 of 45

HIGH PERFORMANCE WORK ORGANIZATIONSFISCAL YEAR ENDINING JUNE 30, 2012

COMPANY NAME CLOSING DATEBirken Manufacturing Company 2/26/1998Supreme-Lake Mfg., Inc. 7/17/1998Nickson Industries 8/14/1998Chaves Bakery II, Inc. 9/1/1998Acucut, Inc. 12/15/1998Pa-Ted Spring Co., Inc. 4/12/1999Conn. Valley Bindery, Inc. 7/23/1999Anstro Manufacturing Company, Inc. 8/2/2000S.A.C. Capital Advisors, LLC 12/28/2000Atticus Bakery, LLC 5/14/2001FuelCell Energy 6/25/2001Auburn Mfg. Co. Inc. 1/16/2002Adrian's Landing Hotel 2/18/2002Porcelen Ltd. CT, LLC 4/12/2002United Steel, Inc. 5/17/2002Acucut, Inc. 6/7/2002SureSource, Inc. 8/6/2002Cooper Instrument Corp. 10/30/2002D & D Fish Market, LLC 7/18/2003Adrian's Landing Hotel 9/3/2003Boehringer Ingelheim Pharmaceuticals 12/18/2003Classic Coil Company, Inc. 1/13/2004Adrian's Landing Hotel 1/14/2005Whole Foods Market Group 4/12/2005Pa-Ted Spring Co., Inc. 8/11/2005Accel International Holdings, Inc. 11/2/2005Classic Coil Company, Inc. 2/28/2006Swiss Army Brands, Inc. 3/30/2006Crew Design, Inc. 7/18/2006Conn. Valley Bindery, Inc. 7/31/2006Brooklyn General Repair, Inc. 11/16/2006Flanagan Brothers, Inc. 4/13/2007Lee Company (The) 6/18/2007Conn. Valley Bindery, Inc. 7/19/2007Flanagan Brothers, Inc. 10/31/2007CBS Manufacturing Company 2/27/2008FuelCell Energy 4/29/2008Boehringer Ingelheim Pharmaceuticals 8/12/2008Weeden and Co., L.P. 8/19/2008Blue Sky Studio, Inc. 9/26/2008Atticus Bakery, LLC 10/15/2008HSB Aircraft Components, LLC 10/22/2008R & D Dynamics Corporation 11/4/2008HBN Front Street District, Inc. 11/7/2008Brooklyn General Repair, Inc. 11/17/2008Alden Tool Company, Inc. 2/6/2009Flanagan Brothers, Inc. 2/13/2009Harrington Engineering Inc. 3/31/2009Acucut, Inc. 4/30/2009R & D Dynamics Corporation 6/8/2009

Page 35 of 45

HIGH PERFORMANCE WORK ORGANIZATIONSFISCAL YEAR ENDINING JUNE 30, 2012

COMPANY NAME CLOSING DATEThermoSpas, Inc. 7/8/2009Beacon Industries, Inc. 7/29/2009Standard Metals, Inc. 7/29/2009Accel International Holdings, Inc. 8/11/2009Devon Precision Industries, Inc. 10/7/2009Conn. Valley Bindery, Inc. 1/22/2010Jaffe Holden Acoustics, Inc. 4/28/2010Metalform Acquisition, LLC 5/20/2010Alpha Q, Inc. 6/28/2010Precision Threaded Products, Inc. 7/2/2010ThermoSpas, Inc. 9/28/2010Jobtarget LLC 12/21/2010Higher One, Inc. 2/7/2011Porcelen Ltd. CT, LLC 3/24/2011HSB Aircraft Components, LLC 8/19/2011Lee Company (The) 11/14/2011Ramdy Corporation 11/18/2011Beacon Industries, Inc. 12/8/2011HBN Front Street District, Inc. 2/22/2012mk North America, Inc. 4/27/2012Supreme-Lake Mfg., Inc. 5/31/2012Aperture Optical Sciences, Inc. 6/1/2012NBC Sports Network, LP 7/12/2012

Page 36 of 45

APPLICATION INFORMATIONFISCAL YEAR ENDING JUNE 30, 2012

Client Name City SIC Code NAICS Code Application Received DateBoard Approval

Date Date of Actual Loan Settlement Action On ApplicationAdvanced Fusion Systems, LLC Newtown 334411 11/7/2011 10/19/2011 11/11/2011 AAirflow Truck company Newington 336000 2/14/2012 2/14/2012 2/14/2012 AAlfin, Fagin & Falce LLP Farmington 541211 2/27/2012 2/27/2012 2/27/2012 AAll State Construction, Inc. Farmington 1711 236220 10/19/2011 W/DAmco Precision Tools, Inc. Berlin 3599 336412 10/25/2011 11/16/2011 2/8/2012 AAnocoil Corporation Rockville 3861 332810 9/21/2011 W/DApple Valley Bowling, LLC Plantsville 713950 5/31/2012 5/31/2012 5/31/2012 AArnold Group, LLC (The) West Hartford 541990 10/25/2011 10/25/2011 10/25/2011 ABantam Supply Co., Inc. Litchfield 454311 4/17/2012 4/18/2012 5/18/2012 ABeacon Industries, Inc. Newington 3724 336412 10/21/2011 9/21/2011 12/8/2011 ABelimo Aircontrols, Inc. (USA) Danbury 42730 2/24/2012 2/15/2012 PBroadstar Wind Corporation Hartford 4911 221119 12/27/2011 10/19/2011 12/28/2011 AClear Automation, LLC Southington 3569 333999 10/31/2011 10/19/2011 11/18/2011 ACommercial Asphalt Maintenance, LLC Plainville 1799 235900 6/12/2012 6/13/2012 6/13/2012 AConnecticut Light & Power Company Waterford 4911 9/13/2011 9/21/2011 9/28/2011 AConnecticut Light & Power Company Waterford 4911 9/14/2011 9/21/2011 9/28/2011 AConnecticut Physical Therapy Specialists, LLC Granby 541990 3/20/2012 3/20/2012 3/20/2012 ADental Arts of Avon, P.C. Avon 621210 10/26/2011 10/26/2011 10/26/2011 ADermatologic Cosmetic Laboratories LTD. East Haven 325620 5/3/2012 5/16/2012 6/25/2012 ADermatologic Cosmetic Laboratories LTD. East Haven 325620 5/3/2012 5/16/2012 6/25/2012 AESPN, Inc. Bristol 515100 9/21/2011 PFoley Insurance Group, LLC Glastonbury 524210 7/19/2011 8/15/2011 8/15/2011 AGarage Media, LLC Hartford 541850 7/5/2011 7/6/2011 7/6/2011 AGuardian Angels Homecare, LLC Cheshire 62000 10/24/2011 10/25/2011 10/25/2011 AHarty Press, Inc. (The) New Haven 323110 5/30/2012 5/31/2012 5/31/2012 AHBN Front Street District, Inc. Hartford 531110 2/22/2012 2/15/2012 2/22/2012 AIMX Pilates, d/b/a Guilford 713940 6/7/2012 6/7/2012 6/7/2012 AJT Fazz, LLC Meriden 811111 1/23/2012 1/23/2012 1/23/2012 AJT Fazz, LLC Meriden 811111 1/23/2012 1/23/2012 1/23/2012 ALee Company (The) Westbrook 3823 10/14/2011 9/21/2011 11/14/2011 AMariner Capital Partners, LLC Glastonbury 523930 7/26/2011 8/15/2011 8/15/2011 Amk North America, Inc. Bloomfield 3535 333922 3/6/2012 2/15/2012 4/27/2012 Amk North America, Inc. Bloomfield 3535 333922 3/6/2012 2/15/2012 4/27/2012 AMountain Laurel Enterprises, Inc West Hartford 236118 2/26/2012 2/27/2012 2/27/2012 ANBC Sports Network, LP Stamford 515210 5/15/2012 5/16/2012 7/12/2012 ANorth Street Laundry, LLC New Britain 812310 8/15/2011 8/15/2011 8/15/2011 ANortheastern Shaped Wire, Inc. Southington 3496 332618 2/29/2012 2/15/2012 3/22/2012 AQuality Sales Hartford 5148 424480 10/14/2011 7/20/2011 10/14/2011 ARamdy Corporation Oakville 3599 333512 4/28/2011 7/20/2011 11/18/2011 ASupreme-Lake Mfg., Inc. Plantsville 3451 332721 2/21/2012 1/18/2012 5/31/2012 ATicketNetwork, Inc. South Windsor 7389 541510 9/21/2011 W/D

Page 37 of 45

APPLICATION INFORMATIONFISCAL YEAR ENDING JUNE 30, 2012

Client Name City SIC Code NAICS Code Application Received DateBoard Approval

Date Date of Actual Loan Settlement Action On ApplicationTwo Roads Brewing Company LLC Greenwich 2082 312120 2/3/2012 9/21/2011 W/DTwo Roads Brewing Company LLC Greenwich 2082 312120 2/3/2012 9/21/2011 6/21/2012 AWe Care Computers, LLC West Hartford 811212 3/14/2012 3/14/2012 3/14/2012 AWe Care Computers, LLC West Hartford 811212 3/14/2012 3/14/2012 3/14/2012 A

A - Approved by Board of DirectorsP - Pending, ApprovedW/D - Withdrawn by Company

Page 38 of 45

CDA BOND ISSUESFISCAL YEAR ENDING JUNE 30, 2012

Competitive,Negotiated or

Description Date Closed Amount Underwriter Privately Placed Net Proceeds

Lapham-Hickey Steel 1-Jul-11 $4,995,000 Wells Fargo Private $4,995,000C L & P 28-Sep-11 $120,500,000 US Bank Lmtd Public $120,500,000C L & P 28-Sep-11 $125,000,000 US Bank Lmtd Public $125,000,000Connecticut Water 6-Dec-11 $22,050,000 US Bank Negotiated $22,050,000Connecticut Container 6-Dec-11 $4,400,000 Peoples Private $4,400,000

Total $276,945,000 $276,945,000

Page 39 of 45

CONNECTICUT DEVELOPMENT AUTHORITY AFFIRMATIVE ACTION ACTIVITIES

JULY 1, 2011 THROUGH JUNE 30, 2012 CDA Events, Programs & Sponsorships As part of its annual business development and communications plan, the Connecticut Development Authority continues to sponsor and participate in events and programs throughout the state which are designed to assist, feature and encourage small and minority business development. Such events and organizations included:

• Achieving Your Business Potential in a Volatile Economy-Information Meeting • UIL Economic Development Conference– Informational Meeting • Financing Alternatives for Small to Mid-sized Businesses– Informational Meeting • Blum Shapiro/Financing Seminar – Informational Meeting • Yale University Properties, New Haven – Informational Meeting • SBA/SBDC – Veterans Resource Expo – Informational Meeting • Jobs Summit – CT Convention Center– Informational Booth • Bristol Chamber of Commerce, Business Outreach for Hurricane Irene–Informational Session • Start-up Weekend- Hartford, Metro Alliance Informational Meeting • Community Economic Development Fund, Meriden – Board Meetings • CBIA - Bid Ideas for Small Business – Informational Meeting • CBRE - Hartford Annual Market Presentation– Informational Meeting • Metro-Hartford Alliance - Informational Meeting • Greater New Haven Chamber of Commerce – Legislative Reception • Middlesex Chamber of Commerce – Business to Business Expo • GNCC Small Business Academy - 7 Session Business Training Course • CBIA Manufacturing Workforce Summit – Informational Meeting • URBANK program – Informational Meeting, Bristol • University of Hartford, Scholars Program Breakfast • Renewable Energy and Efficiency Business Association- Informational Meeting

Affirmative Action Plans/Updates For Companies Receiving Loans During the fiscal year July 1, 2011 – June 30, 2012 through the assistance given in consultation offsite, onsite and by telephone, 132 affirmative action plans/updates were reviewed and/or approved. CDA continues to forward Recruitment Source Listings by labor market area as requested, outlining women and minority organizations to loan companies seeking qualified women and minority applicants, for job openings, in an effort to assist companies recruit a diverse and qualified pool of candidates for open positions.

Page 42 of 45

Internal Activities (Training) CDA encourages all employees to seek educational opportunities that will increase their job effectiveness as well as their professional and personal development. The Connecticut Development Authority continues to offer training courses in the following areas: computers, secretarial, personal development, human resources, sexual harassment training, through State of Connecticut Community Colleges Continuing Education Division in partnership with the Department of Administrative Services. In addition, CDA offers computer training through the New Horizons Learning Center. CDA also continues to offer tuition reimbursement for all employees. CDA continues to partner with the University of Hartford’s Career Counseling Center to provide all employees the opportunity to enroll in career counseling courses. Human Resources and Payroll personnel participate in on-going training in the use of the State of Connecticut’s CORE-CT System. Recruitment for CDA Job Openings The following statement is used in all postings to indicate CDA’s commitment to the Affirmative Action: “The Connecticut Development Authority is an equal opportunity/affirmative action employer and strongly encourages the resumes/applications of women, minorities and persons with disabilities.” CDA continued its commitment to Affirmative Action by partnering with various community organizations to build and strengthen relationships and develop recruiting and referral sources. New Hires During the period of July 1, 2011 through June 30, 2012 there were three (3) new hires. One (1) White Female was hired as Cooperative Education Intern

One (1) White Male was hired as Vice President – Loan Officer (Reemployed Retiree)

One (1) White Female was hired as Vice President – Loan Officer Promotions During the period of July 1, 2011 through June 30, 2012 there were no promotions. Terminations During the period of July 1, 2011 through June 30, 2012 there were three (3) terminations. One (1) White Male, Vice President – Loan Officer (Retired)

One (1) White Male, Vice President – LAN Administrator

One (1) White Male, Cooperative Education Intern

Page 43 of 45

CONNECTICUT DEVELOPMENT AUTHORITY WORKFORCE ANALYSIS

DATE: as of 6/30/2012

CATEGORY GRAND TOTAL TOTAL WHITE WHITE BLACK BLACK HISPANIC HISPANIC OTHER OTHEROR CLASS TOTAL (1) MALE (2) FEMALE (3) MALE (4) FEMALE (5) MALE (6) FEMALE (7) MALE (8) FEMALE (9) MALE (10) FEMALE (11)

President 1 1 1

Executive Director 1 1 1

Chief Financial Officer 1 1 1

Senior Vice President 3 2 1 1 1 1

Vice President 4 1 3 1 3

Senior Mgr., Business & Program Development 1 1 1

Manager, Human Resources & A.A. 1 1 1

Database Administrator 1 1 1

Accountant 1 1 1

Administrative Assistant to the President 1 1 1

Administrative Assistant 3 3 2 1

Business Development Assistant 1 1 1

Loan Accounting Assistant 1 1 1

Controller 1 1 1

LAN Administrator 0

Paralegal 1 1 1

Systems Developer - MIS 1 1 1

Credit Analyst 1 1 1

Total 24 7 17 5 15 2 1 1

Page 44 of 45

Connecticut Development AuthorityListing of Individuals & Firms Paid Over $5,000

Payments Made July 1, 2011 - June 30, 2012

Vendor Vendor

American Express Greater New Haven Chamber of CommerceBiomedical Engineering Society H.D.Segur, Inc.Carmody & Torrance Insalco CorporationCBIA Iron MountainCCSU ITBD JobPro Temporary Services, Inc.CDA Reserve Fund - Farmington Bank Lincoln National Life Insurance Co.CDA Reserve Fund - First Niagara Bank Marcum, LLPCDA Reserve Fund - New England Bank Naugatuck Savings BankCDA Reserve Fund - Rockville Bank People's United InsuranceCFT Atlantic & Central States Pita Communications, LLCCHFA Pitney BowesCIT Technology Fin Serv, Inc. Pullman & Comley, LLCCitizens National Bank RMI Associates, LLCCity of Hartford Sheshunoff Consulting & SolutionsCox Communications Shipman & GoodwinDECD Systems Integration, Inc.Dun & Bradstreet Treasurer, State of CTGraystone Group Advertising Unishippers

Page 45 of 45

CONNECTICUT DEVELOPMENT AUTHORITY 2012 ANNUAL REPORT€¦ · 2 Brooklyn General Repair, Inc. 25...

Documents

Transcript of CONNECTICUT DEVELOPMENT AUTHORITY 2012 ANNUAL REPORT€¦ · 2 Brooklyn General Repair, Inc. 25...