Business Continuity Plan

Securities industry regulations require that brokerage firms provide clients with their plans for contingency in the event of a business disruption due to natural or other forces. Should such an event occur, information may be obtained by contacting KPG by telephone at 212-588-8889, by fax at 212-937-3345, or by email at reporting@kpgcapitalpartners.com. KPG maintains an extensive Business Continuity Plan on file which considers several circumstances of varying magnitude. The following sets forth the basic considerations for a few possible situations:

• If our primary physical location and the local network became unavailable, due to any circumstances such as a power outage, internet disruption or lack of physical access to our offices, we would restore our electronic network to operate through the network backup which is stored off-site.
• In the event that our telephone network was unavailable for an extended period of time but we continued to have use of the internet, the firm would post alternate telephone numbers to its website.
• During a significant business disruption, if our clients are unable to reach us either by telephone or internet, they are advised to contact our Park City, Utah location physically or via postal service as follows:  KPG Capital Partners, 2078 Prospector Avenue, Suite 11, Park City, Utah 84060.

KPG regularly assesses and tests its plan to verify that in the unlikely event it experiences a business disruptions, the firm has taken reasonable steps to address risk, service interruption and limited account access.