Business Continuity Plan / Privacy Statement

Business Continuity Plan Disclosure

Prestwick Partners, LLC (“Prestwick” or “we” or “us”) has an ongoing business continuity plan in place intended to help us respond to and recover from a business disruption.  We developed the business continuity plan to protect the interests of our clients and employees, and to support the recovery of our core businesses.  Our business continuity plan documents our core business functions and the resources required to conduct them.  Our plan accounts for the following general scenarios:

• Significant technology outage at a facility
• Denial of access to a facility
• Localized disaster

Our responses to each of these scenarios will depend on the external variables associated with the disruption (the time of day and the extent of the disruption, for example), but may include transferring functions to alternate sites.  On a Best-Effort basis, our goal is to begin resuming business activities within 24 hours of activating our business continuity plan.

We have posted this disclosure on our website for your reference. If you have questions or concerns, please contact one of our partners.  In case of emergency, contact Ingo Schulz at (612) 339-4232.

Privacy Notice

Generally, Prestwick Partners, LLC (“Prestwick” or “we” or “us”) does not ask for or keep nonpublic personal information about clients or persons associated with our clients.  In the unlikely event that we learn nonpublic personal information about clients or persons associated with clients, it is the policy of Prestwick to keep confidential nonpublic personal information (“information”) pertaining to each current and former client unless Prestwick is:  (1) previously authorized by the client to disclose information to individuals or entities not affiliated with Prestwick, including, but not limited to, other clients or entities in connection with a potential transaction, or the client’s other professional advisors and service providers (e.g., attorney, accountant, investment adviser, account custodian, etc.), or (2) required to do so by judicial or regulatory process.

The disclosure of information contained in any document completed by the client for processing or transmittal by us in order to facilitate the commencement, continuation or termination of a business relationship between the client and a nonaffiliated third party, shall be deemed as having been automatically authorized by the client with respect to the corresponding nonaffiliated third party.

Each individual and entity affiliated with Prestwick is aware of our Privacy Policy, and has acknowledged the requirement to comply with same.  In accordance with Prestwick’s Privacy Policy, each individual and entity affiliated with Prestwick shall have access to information to the extent reasonably necessary for Prestwick to perform its services for the client, and to comply with applicable regulatory procedures and requirements.  We maintain physical, electronic and procedural safeguards to protect against disclosure of our clients’ information.