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font-size:10.0pt; font-family:"Times New Roman","serif";} </style> <![endif]--><!--[if gte mso 9]><xml> <o:shapedefaults v:ext="edit" spidmax="2049"/> </xml><![endif]--><!--[if gte mso 9]><xml> <o:shapelayout v:ext="edit"> <o:idmap v:ext="edit" data="1"/> </o:shapelayout></xml><![endif]--> </head> <body bgcolor="#B3B3B3" lang=EN-US link=blue vlink=purple style='tab-interval: .5in;margin-top:11.25pt'> <div class=WordSection1> <div align=center> <table class=MsoNormalTable border=1 cellspacing=0 cellpadding=0 title="Energy Capital Solutions" width=1000 style='width:750.0pt;mso-cellspacing: 0in;border:solid #010543 1.0pt;mso-border-alt:solid #010543 .75pt;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow:yes'> <td style='border:none;background:white;padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook:1184;mso-padding-alt: 0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow:yes; height:63.0pt'> <td width=428 valign=top style='width:321.0pt;background:white; padding:0in 0in 0in 0in;height:63.0pt'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black;mso-no-proof:yes'><img width=337 height=84 id="_x0000_i1046" src="Images/inner/inner_header.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_header.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=572 valign=top style='width:429.0pt;padding:0in 0in 0in 0in; height:63.0pt' background="Images/header_bg.jpg"> <div align=right> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="40%" style='width:40.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:1'> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img width=207 height=5 id="_x0000_i1045" src="Images/address_div.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\address_div.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:2'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><strong><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'>Energy Capital Solutions, LP</span></strong><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:3'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'>2651 N Harwood Suite 410<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:4'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'>Dallas, Texas 75201<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:5'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'>Ph. 214-219-8200<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:6;mso-yfti-lastrow:yes'> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img width=207 height=5 id="_x0000_i1044" src="Images/address_div.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\address_div.jpg"></span><span 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Roman";color:black'><o:p></o:p></span></p> </td> <td valign=top style='background:#B8B8B8;padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 align=right style='mso-cellspacing:0in;mso-yfti-tbllook:1184; mso-table-lspace:2.25pt;mso-table-rspace:2.25pt;mso-table-anchor-vertical: paragraph;mso-table-anchor-horizontal:column;mso-table-left:right; mso-table-top:middle;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="index.html"><span style='font-size: 8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=28 id="_x0000_i1041" src="Images/menu/btn_home.jpg" alt="Description: Description: Description: Home"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:1;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="aboutus.html"><span style='font-size: 8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1040" src="Images/menu/btn_aboutus.jpg" alt="Description: Description: Description: About Us"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:2;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="ecsprofessional.html"><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1039" src="Images/menu/btn_Ecs.jpg" alt="Description: Description: Description: ECS Professionals"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:3;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="capitalraising.html"><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1038" src="Images/menu/btn_capital.jpg" alt="Description: Description: Description: Capital Raising"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:4;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="financialadvisory.html"><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1037" src="Images/menu/btn_financial.jpg" alt="Description: Description: Description: Financial Advisory"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:5;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="closedtrans.html"><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1036" src="Images/menu/btn_closed.jpg" alt="Description: Description: Description: Closed Transactions"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:6;height:21.0pt'> <td valign=top style='padding:0in 0in 0in 0in;height:21.0pt'> <p class=MsoNormal><a href="casestudies.html"><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1035" src="Images/menu/btn_case.jpg" alt="Description: Description: Description: Case Studies"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:21.0pt'></td> </tr> <tr style='mso-yfti-irow:7;mso-yfti-lastrow:yes;height:21.0pt'> <td valign=top style='background:#B8B8B8;padding:0in 0in 0in 0in; height:21.0pt'> <p class=MsoNormal><a href="contactus.html"><span style='font-size: 8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";mso-no-proof:yes;text-decoration:none;text-underline: none'><img border=0 width=192 height=27 id="_x0000_i1034" src="Images/menu/btn_contact.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\menu\btn_contact.jpg"></span></a><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;background:#B8B8B8;padding:0in 0in 0in 0in; height:21.0pt'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:2;mso-yfti-lastrow:yes;height:5.25pt'> <td colspan=2 valign=top style='padding:0in 0in 0in 0in;height:5.25pt'> <p class=MsoNormal style='mso-line-height-alt:5.25pt'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=207 height=7 id="_x0000_i1033" src="Images/menu/menu_footer.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\menu\menu_footer.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:1;mso-yfti-lastrow:yes'> <td valign=top style='background:#053E85;padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow: yes'> <td style='padding:0in 0in 0in 0in'></td> </tr> </table> </td> </tr> </table> </td> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow: yes;height:27.75pt'> <td width=28 valign=top style='width:21.0pt;padding:0in 0in 0in 0in; height:27.75pt'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black;mso-no-proof: yes'><img border=0 width=28 height=37 id="_x0000_i1032" src="Images/inner/title_1.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\title_1.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td style='padding:7.5pt 0in 0in 2.25pt;height:27.75pt' background="Images/inner/title_bar.jpg"> <p class=MsoNormal><b><span style='font-size:13.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>Business Continuity <o:p></o:p></span></b></p> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:1'> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow: yes;height:67.5pt'> <td width=21 style='width:15.75pt;padding:0in 0in 0in 0in;height: 67.5pt'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1031" src="Images/inner/inner_title_img4.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img4.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1030" src="Images/inner/inner_title_img2.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img2.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1029" src="Images/inner/inner_title_img6.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img6.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1028" src="Images/inner/inner_title_img3.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img3.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1027" src="Images/inner/inner_title_img5.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img5.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=127 style='width:95.25pt;padding:0in 0in 0in 0in; height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black;mso-no-proof:yes'><img border=0 width=121 height=74 id="_x0000_i1026" src="Images/inner/inner_title_img1.jpg" alt="Description: Description: Description: S:\Websites\nrgcap\Images\inner\inner_title_img1.jpg"></span><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><o:p></o:p></span></p> </td> <td width=8 style='width:6.0pt;padding:0in 0in 0in 0in;height:67.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:2'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:3;height:266.25pt'> <td valign=top style='padding:0in 0in 0in 0in;height:266.25pt' background="Images/inner/watermark.jpg" id=watermark> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow: yes'> <td width=21 valign=top style='width:15.75pt;padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes'> <td width=21 valign=top style='width:15.75pt;padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>&nbsp;<o:p></o:p></span></b></p> </td> <td width=8 valign=top style='width:6.0pt;padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:1'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>Firm Policy <o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:2;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:3'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>The policy of ECS is to respond to a Significant Business Disruption ( SBD ) by safeguarding employees lives and Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of the Firm s books and records, and to the extent practicable, allowing our customers to transact business as soon as possible following such SBD. In the event that ECS determines that it is unable to continue its business, the Firm will take steps to assure customers prompt access to investments and underlying issuers of those investments.<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:4'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>.............................................................................................................................................................................................................................................................<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:5'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>&nbsp;<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:6'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>Significant Business Disruptions ( SBDs )<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:7;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:8'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>The plan anticipates two kinds of SBDs, internal and external. Internal SBDs affect only the ability of ECS to communicate and do business, such as a fire in its 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. The response of ECS to an external SBD relies more heavily on other organizations and systems.<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:9'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>.............................................................................................................................................................................................................................................................<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:10'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>&nbsp;<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:11'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>BCP Designated Principal  Approval and Execution Authority<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:12;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:13'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>Russell Weinberg (the  BCP Designated Principal ) is the registered and designated principal responsible for approving the Plan on behalf of the Firm, and for conducting the required annual review. The BCP Designated Principal, or his (her) designee has the authority to execute this plan.<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:14'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>.............................................................................................................................................................................................................................................................<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:15'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>&nbsp;<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:16'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>Plan Location and Access<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:17;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:18'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>ECS will maintain copies of the Plan and the annual reviews, and the changes that have been made to it. The Firm will make such records available for inspection by the FINRA and SEC. An electronic copy of the Plan is located on ECS main server in the folder named  Business Continuity Plan. <o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:19'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>.............................................................................................................................................................................................................................................................<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:20'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>&nbsp;<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:21'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><b><span style='font-size:8.5pt;font-family: "Arial","sans-serif";mso-fareast-font-family:"Times New Roman"; color:black'>Updates and Annual Review<o:p></o:p></span></b></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:22;height:3.75pt'> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> <td valign=top style='padding:0in 0in 0in 0in;height:3.75pt'></td> </tr> <tr style='mso-yfti-irow:23'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>ECS will update the Plan whenever there is a material change to the operations, structure, business or location of the Firm. In addition, ECS will review this Plan annually, on or before December 31 of each respective year, to modify it to address any changes in the operations, structure, business or location of the Firm or its branch offices.<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> <tr style='mso-yfti-irow:24;mso-yfti-lastrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> </table> </td> <td width=8 valign=top style='width:6.0pt;padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:4;mso-yfti-lastrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:black'>&nbsp;<o:p></o:p></span></p> </td> </tr> </table> </td> </tr> </table> </td> </tr> <tr style='mso-yfti-irow:2;mso-yfti-lastrow:yes;height:27.75pt'> <td style='background:black;padding:0in 0in 0in 0in;height:27.75pt'> <div align=center> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 width="100%" style='width:100.0%;mso-cellspacing:0in;mso-yfti-tbllook: 1184;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <div align=center> <table class=MsoNormalTable border=0 cellspacing=5 cellpadding=0 style='mso-cellspacing:3.7pt;mso-yfti-tbllook:1184;mso-padding-alt:1.5pt 1.5pt 1.5pt 1.5pt'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow:yes'> <td style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><a href="aml.html" title="AML Agreement"><b><span style='color:white'>AML Agreement</span></b></a><o:p></o:p></span></p> </td> <td style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:#D0D0D0'>|<o:p></o:p></span></p> </td> <td style='padding:1.5pt 1.5pt 1.5pt 1.5pt'> <p class=MsoNormal align=center style='text-align:center'><span style='font-size:8.5pt;font-family:"Arial","sans-serif";mso-fareast-font-family: "Times New Roman";color:black'><a href="business.html" title="Business Continuity"><b><span style='color:white'>Business Continuity</span></b></a><o:p></o:p></span></p> </td> </tr> </table> </div> </td> </tr> <tr style='mso-yfti-irow:1;mso-yfti-lastrow:yes'> <td valign=top style='padding:0in 0in 0in 0in'> <table class=MsoNormalTable border=0 cellspacing=0 cellpadding=0 align=right width="65%" style='width:65.0%;mso-cellspacing:0in; mso-yfti-tbllook:1184;mso-table-lspace:2.25pt;mso-table-rspace:2.25pt; mso-table-anchor-vertical:paragraph;mso-table-anchor-horizontal:column; mso-table-left:right;mso-table-top:middle;mso-padding-alt:0in 0in 0in 0in'> <tr style='mso-yfti-irow:0;mso-yfti-firstrow:yes;mso-yfti-lastrow:yes'> <td width="59%" style='width:59.0%;padding:0in 0in 0in 0in'> <p class=MsoNormal><span style='font-size:8.5pt;font-family:"Arial","sans-serif"; mso-fareast-font-family:"Times New Roman";color:#D0D0D0'>Copyright © 2011 Energy Capital Solutions. All Rights Reserved.<o:p></o:p></span></p> </td> <td width="21%" style='width:21.0%;padding:0in 0in 0in 0in'></td> </tr> </table> </td> </tr> </table> </div> </td> </tr> </table> </td> </tr> </table> </div> <p class=MsoNormal><span style='mso-fareast-font-family:"Times New Roman"'><o:p>&nbsp;</o:p></span></p> </div> </body> <!-- Mirrored from www.energycapitalsolutions.com/ecs/business.aspx by HTTrack Website Copier/3.x [XR&CO'2007], Tue, 19 May 2009 16:32:19 GMT --> <!-- Added by HTTrack --><meta http-equiv="content-type" content="text/html;charset=utf-8"><!-- /Added by HTTrack --> </html>