The goal of this Business Continuity Plan (“BCP”) Statement is to summarize the policies and procedures for NewCap Partners, Inc. to be followed in the event of a Significant Business Disruption (“SBD”). The BCP is intended to safeguard the lives of our employees as well as our assets including our books and records. Our BCP outlines the steps for making a financial and operational assessment and quickly recovering and resuming operations in the event of a SBD. Our plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only our Firm’s ability to communicate and do business, such as a fire in our building. External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a city flood, or a wide-scale, regional disruption. Our response to an external SBD relies more heavily on other organizations and systems.
Our plan addresses emergency contacts, data backup and recovery and communications, both internally and externally. Our plan is designed to minimize the time in which our operations are impacted during an SBD. Our plan has three goals:

• to prevent events and impacts that are within our control;
• to ensure the continued operation of all aspects of our business and services in any circumstances, to the extent possible; and
• to speed the resumption of any disrupted business activities and the recovery of any lost data as quickly as reasonably possible with minimal interruption, depending on the nature and extent of the business disruption.

For a copy of the NewCap Partners, Inc. Privacy Policy or Business Continuity Plan, please contact Thomas Turney at turney@newcap.com.