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EXCELSIOR VENTURE PARTNERS III LLC
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10-K
Jan 29, 4:03 PM ET
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EXCELSIOR VENTURE PARTNERS III LLC 10-K
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Contents
98
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549
FORM 10-K
FOR ANNUAL AND TRANSITION REPORTS PURSUANT TO SECTIONS 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
For the fiscal year ended October 31, 2009
OR
For the transition period from to
Commission file number: 000-29665
EXCELSIOR VENTURE PARTNERS III, LLC
225 High Ridge Road Stamford, CT 06905
TABLE OF CONTENTS
PART I
ITEM 1. BUSINESS.
Overview
Company Portfolio of InvestmentsOctober 31, 2009
Investments Held — Private Companies
Archemix Corporation (“Archemix”)
Ethertronics, Inc. (“Ethertronics”)
SOA Software, Inc. (“SOA” f/k/a LogicLibrary, Inc.)
Recorders and Medicare Systems (P) Ltd. (“Recorders and Medicare” f/k/a Tensys Medical, Inc.)
Exits
Investments Held — Third Party Investment Funds
Competition
Employees
Risk Factors
ITEM 2. PROPERTIES.
ITEM 3. LEGAL PROCEEDINGS.
ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.
PART II
ITEM 5. MARKET FOR REGISTRANT’S COMMON EQUITY AND RELATED STOCKHOLDER MATTERS.
Market Information
Holders
Dividends and Distributions
ITEM 6. SELECTED FINANCIAL DATA.
ITEM 7. MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS.
Liquidity and Capital Resources
Results of Operations
Investment Income and Expenses
Net Assets
Realized and Unrealized Gains and Losses from Portfolio Investments
Application of Critical Accounting Policies
ITEM 7A. QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK.
Equity Price Risk
ITEM 8. FINANCIAL STATEMENTS AND SUPPLEMENTARY DATA.
Report of Independent Registered Public Accounting Firm
Excelsior Venture Partners III, LLC Portfolio of Investments October 31, 2009
Excelsior Venture Partners III, LLC Portfolio of Investments October 31, 2009 (continued)
Excelsior Venture Partners III, LLC Portfolio of Investments October 31, 2008
Excelsior Venture Partners III, LLC Portfolio of Investments October 31, 2008 (continued)
Excelsior Venture Partners III, LLC Statements of Assets and Liabilities
Excelsior Venture Partners III, LLC Statements of Operations
Excelsior Venture Partners III, LLC Statements of Changes in Net Assets
Excelsior Venture Partners III, LLC Statements of Cash Flows
Excelsior Venture Partners III, LLC Financial Highlights
EXCELSIOR VENTURE PARTNERS III, LLC NOTES TO FINANCIAL STATEMENTS October 31, 2009
Note 1 — Organization
Note 2 — Significant Accounting Policies
A. Basis of Presentation and Use of Estimates:
B. Cash and Cash Equivalents:
C. Restricted Cash:
D. Investment Valuation:
E. Security transactions and investment income:
Private and Public Companies
Private Investment Funds
F. Expenses:
G. Income taxes:
Note 3 — Investment Advisory Fee, Administration Fee and Related Party Transactions
Note 4 — Purchases and Sales of Securities
Note 5 — Commitments
Note 6 — Transactions with Affiliated Companies
Note 7 — Guarantees
Note 8 — Concentration Risk
Note 9 — Liquidity Risk
Note 10 — Disclosure regarding Private Investment Funds over 5% of Net Assets
Note 11 — Subsequent Events
Supplemental Information (Unaudited)
ITEM 9. CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE
ITEM 9A. CONTROLS AND PROCEDURES.
ITEM 9A (T). CONTROLS AND PROCEDURES.
Disclosure Controls and Procedures.
Management’s Report on Internal Control over Financial Reporting
ITEM 9B. OTHER INFORMATION.
PART III
ITEM 10. DIRECTORS AND EXECUTIVE OFFICERS OF THE REGISTRANT.
Officers
Audit Committee Financial Expert
Code of Ethics
Section 16(a) Beneficial Ownership Reporting Compliance
ITEM 11. EXECUTIVE COMPENSATION.
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT.
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS.
ITEM 14. PRINCIPAL ACCOUNTANT FEES AND SERVICES.
Audit Fees
Audit-Related Fees
Tax Fees
All Other Fees
PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES.
SIGNATURES
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