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Business Continuity Statement

Genesis Capital, LLC is committed to providing uninterrupted service and support to its clients. Genesis Capital, LLC recognizes that certain uncontrollable events can cause varying degrees of disruption to normal business processes. For example, a severe storm can adversely affect the ability of staff to report to work on a given day. Events of greater severity, such as a regional electrical blackout or an intentionally destructive act, could cause wider concern and disruption. Genesis Capital, LLC recognizes the responsibility it has to our customers to continue critical operations during such events. The Firm’s goal is to meet this obligation with minimal interruption—on the same day, if possible—given the circumstances and scope of any disruptive event.

Genesis Capital, LLC has developed and maintains a written business continuity plan we believe not only provides effective responses to a wide variety of disruptive events, but better enables Genesis Capital, LLC to continue critical operations during a business disruption.

Genesis Capital, LLC’s business continuity plans provide for continuity of critical operations and other activities during a variety of disruptions. They include client support responses such as conducting operations from alternate sites in different locations, if necessary, or operating with self-generating facilities while maintaining Genesis Capital, LLC’s presence in the marketplace and servicing client accounts.

These plans are designed to enable Genesis Capital, LLC to continue critical operations whether the disruption affects an entire business, district, region or a single building.

Genesis Capital, LLC believes it is important that its clients remain confident in our commitment and ability to provide ongoing services in the event of a business disruption. To maintain effective and secure plans, we keep them confidential and so do not provide specific details in this notice. In addition, Genesis Capital, LLC is committed to maintaining effective communications with its clients during a business disruption.

Our business continuity plans are reviewed to ensure appropriate enhancements are implemented as technology improves, business plans evolve, or regulatory requirements change. Senior management has designated a corporate head of business continuity and Genesis Capital, LLC’s plans and supporting documents are subject to review by both internal and external auditors as well as examination by industry regulators. Should material changes to the plans occur, this “Business Continuity Statement” will be updated as appropriate.

Genesis Capital, LLC may modify this notice at any time with such modifications becoming effective upon posting to our web site. You may obtain a current copy of this notice by contacting Genesis Capital, LLC.

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