PAGEMILL PARTNERS LLC
In the event of a significant business disruption (SBD), Pagemill Partners LLC has a business continuity plan (BCP) in place to quickly resume business operations and protect the confidentiality of our clients’ information and property. The Company will also make a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our Company’s BCP is designed to permit us to resume operations as quickly as possible, given the scope and severity of the SBD.
The BCP addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
The placement issuers maintain all records related to your investments and holdings and backs up important records in accordance with their BCP. For more information on their contingency plan, please contact the issuer directly at the telephone number provided on your offering documents or through their Web site, if applicable.
How to Contact Us
If you are unable to reach Pagemill Partners on our main number, please proceed as follows:
1. Contact the Company at the following alternate telephone number: 650-233-4050
2. Access the Company’s Web site at www.pmib.com
3. Contact the private placement issuer directly at the number listed on applicable offering documents.
4. Access the issuer’s Web site for more information on contacting this entity and their business continuity plans. The Web site address can generally be found on your offering documents.
5. Contact the NASD’s District office at the following telephone number for more information on the Company’s status and additional instructions: 415-882-1200
Any questions regarding the Company’s BCP should be addressed to: William Sunstrum, chief financial officer, Pagemill Partners LLC, 2475 Hanover Street, Palo Alto, CA 94105, Tel: (650) 233-4877.
Explanation of Disruptions
Significant Business Disruptions: The company’s plan takes into account two kinds of SBD’s: internal and external. Internal SBDs affect only the Company’s ability to communicate and do business, such as a fire or loss of electrical power in the office or building.
External SBDs prevent the operation of the securities markets or a number of firms, such as a terrorist attack, a natural disaster, or another event that causes a wide-scale, regional disruption in essential services.
Internal SBDs: In the event of a disruption in the Company’s business operations due to an internal SBD, the Company will attempt to continue to conduct business as usual by utilizing alternative communication methods (if available), such as the Internet, cell phones, etc., or by moving its operations to an alternative location.
The Company will attempt to resume business within 24 hours and to keep its customers informed regarding relevant events to the best of its ability based on the circumstances.
If personnel or operations must be moved to an alternate location, the Company anticipates that it will resume regular operations with 2-4 hours.
External SBDs: In the event of a disruption in the Company’s business operations due to an external SBD, the Company will attempt to continue to conduct business as usual by moving its operations to an alternative location outside the effected area, if possible, or by providing customers with alternative communication arrangements, as indicated below, to conduct business or to access their funds and securities.
If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
