Business Continuity

AZA Capital Management (the "Firm") is committed to providing our clients with professional and timely service. This commitment includes providing information regarding plans to address disruptions in our business operations due to power outages, natural disasters, or other significant events. In the event of a disruption, the Firm has a comprehensive Business Continuity Plan that is intended to permit the Firm to maintain business operations in a manner that is efficient and as close to normal as possible.

The following are examples of what might occur if we were to experience business disruptions of varying scope and magnitude:

• If our main telephone service were to become unavailable for any reason, calls would be forwarded to advisor cell phones or to another location.
• In the event that our primary office was to become unavailable for an extended period, we would transition to an off-site location to be determined based on the severity and anticipated duration of the disruption.
• In the case of an extended disruption, the Firm's cloud-based computing environment could be accessed from alternate locations in most instances.
• In the event of any disruption of service, clients would be notified by phone and/or by electronic mail as quickly as reasonably possible.

Although the Firm has taken significant steps to develop and implement sound business disaster recovery practices, after a significant business disruption, clients could experience a gap in communication as operations recover to a normal state. We will continue to assess, update, and test our plans to ensure that the Firm's procedures are robust and consistent with common industry practices. Any modifications to this plan will be reflected in our Business Continuity and Contingency Plan Statement. You may obtain a copy of the current version by calling us at 312-429-0880 or writing to AZA Capital Management, Chief Compliance Officer, 141 W. Jackson Blvd., Suite 3332, Chicago, IL 60604.