Business Continuity Plan

DISCLOSURE STATEMENT OF BUSINESS CONTINUITY PLAN

Austin Atlantic Capital, Inc (“Austin Atlantic”) a FINRA Member SIPC and mutual funds underwriter and distributor, has established a Business Continuity Plan (BCP) to address how we will respond to events that significantly disrupt our business operations. Our plan is designed to be flexible to account for various types of potential disruptions.

Business Continuity Plan Summary

In the event of a significant business disruption (SBD), Austin Atlantic Capital Inc.’s priority is to safeguard the health and safety of employees, protect the firm’s property, and ensure a prompt recovery and resumption of business operations. While Austin Atlantic Capital does not hold shareholder accounts, we have measures in place to protect the firm’s books and records and ensure continuity of business.

If we experience a significant business disruption, we expect to resume operations within hours. Off-site locations have been designated to facilitate this recovery and minimize any downtime.

Access to Fund Accounts

Austin Atlantic Capital does not hold customer accounts. For mutual fund shareholders, all account information and transactions are maintained by the fund’s administrator and transfer agent, Northern Trust Bank. In the event of a disruption, shareholders should contact Northern Trust Bank Shareholder Services at 800-247-9780 for assistance.

Plan Highlights

Our Business Continuity Plan includes:

• Data Backup and Recovery: We ensure that all critical systems and data are backed up and recoverable.
• Alternative Communications: We maintain alternative methods for communication with clients, employees, and regulators.
• Alternate Locations: Off-site locations are ready to be utilized if our primary business location is impacted.
• Third-Party Relationships: We work closely with key service providers like Northern Trust to ensure continuity in fund operations.

Communication During a Disruption

In the event of a significant business disruption, we will attempt update our website with relevant information regarding business operations. If circumstances prevent us from continuing in business, we will post updates to our website with instructions for shareholders.

For more details on our Business Continuity Plan, or to request a complete copy, please contact us at compliance@austinatlantic.com.