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Business Continuity

Performance Trust Capital Partners, LLC has a Business Continuity Plan (BCP) in place, including redundant data centers and alternate processing facilities, to address interruptions to our normal course of business. The plans are reviewed annually and updated as necessary. Our plans outline the actions Performance Trust Capital Partners, LLC will take in the event of a significant business disruption ranging in severity from a firm only disruption to a regional disruption, including relocating technology and operational personnel to pre-assigned alternate regional facilities. Technology data processing can also be switched to an alternate regional data center.

Performance Trust Capital Partners, LLC’s redundancy technology facilities are equipped for resumption of business and are tested several times per year. Our recovery time objective for business resumption, including those involving a relocation of personnel or technology, is five hours. This recovery objective may be negatively affected by the availability of external resources and circumstances beyond our control.

Performance Trust Capital Partners, LLC maintain relationships with its clearing firm, Pershing. We fully introduce your accounts to Pershing as it maintains your assets and settles your transactions on your behalf. In the event of a regional catastrophic event including, but not limited to a natural disaster, terrorist attack, or other severe failure where Performance Trust Capital Partners, LLC can no longer conduct business, Pershing may be contracted directly to process limited trade-related transactions, cash disbursements, and security transfers. Instructions to Pershing must be in writing and transmitted via facsimile or postal service as follows:

Pershing LLC
P.O. Box 2065
Jersey City, NJ 07303-2065

Fax: (201) 413-5368

For additional information about how to request funds and securities when Performance Trust Capital Partners, LLC cannot be contacted due to a significant business disruption, please visit the About Pershing section of the Pershing web site at www.pershing.com/about.htm or call 201-413-3635 for recorded instructions. If you cannot access the instructions from the web site or previously noted telephone number, Pershing may be contacted at 213-624-6100 ext. 500 as an alternate telephone number for recorded instructions.

If you have any questions regarding this summary, please call 800-200-9125.