I. Emergency Contact Persons II. Firm Policy III. Business Description IV. Office Locations V. Alternative Physical Location(s) of Employees VI. Customers’ Access to Funds and Securities VII. Data Back-Up and Recovery (Hard Copy and Electronic VIII. Financial and Operational Assessments IX. Mission Critical Systems X. Alternate Communications Between the Firm and Customers, Employees and Regulators XI. Critical Business Constituents, Banks, and Counter-Parties XII. Regulatory Reporting XIII. Disclosure of Business Continuity Plan XIV. Updates and Annual Review XV. Senior Manager Approval

I. Emergency Contact Persons

Our firm’s emergency contact persons at our main office are: Carol P. Foley, 312-899-0133, cfoley@podestaco.com and Victor Elting, 312-899-0133, velting@podestaco.com. The emergency contact at our branch office is Lisa Podesta, 415-512-5295, lpodesta@podestaco.com. These names will be updated in the event of a material change, and our Executive Representative will review them within 17 business days of the end of each quarter.