Privacy Policy — S3 Capital

In this Privacy Notice, the terms “We,” “Our” and “Us” refer to S3 Capital Advisors, LLC (“S3 Capital”), its affiliated entities, our funds under management, and our employees, collectively. The terms “you” and “your” in this Privacy Notice refer broadly to anyone that has provided information to the Partnership, either in connection with our services, doing business with S3 or otherwise by interacting with us, including through our website. This Privacy Notice outlines how S3 Capital collects, uses, discloses, and safeguards personal information.

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Our Commitment to Your Privacy: We have a policy of protecting the confidentiality and security of information we collect about you. We are providing you this notice (the “Privacy Notice“) to help you better understand why and how we collect certain personal information, the care with which we treat that information, and how we use that information.

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This Privacy Notice accompanies and should be read in conjunction with our General Privacy Notice issued pursuant to the Gramm-Leach-Bliley Act.

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Notice at Collection: Personal Information We Collect

We collect and maintain the following categories of personal information:

Personal identifiers: name, email address, home/domicile address, telephone number, Social Security number, passport number, driver’s license or state identification number, signature, IP address, taxpayer identification number.
Protected class information: age; sex/gender; ethnicity; military or veteran status; national origin.
Commercial and financial information: assets, income, net worth, amounts and types of investments, risk tolerance, capital account balances, capital commitments, capital contributions, account data, other investment participation information, funds transfer information, beneficiaries, positions, percentages of fund, share or option numbers and values, vesting information, investment history, transaction history, tax status and information; other information required to perform, or revealed in, know-your-customer (KYC) and anti-money laundering (AML) due diligence, investor accreditation and consents; information about your interest in the relevant Investment, including ownership percentage, capital investment, income and losses.
Internet or other electronic activity information: electronic device type, information regarding your interaction with our website, fund data room, investor reporting portal (for example, from cookies and similar technology), registration information, online account data, information you provide to us when you correspond with us in relation to inquiries.
Professional information: current or past job history or performance evaluations, job titles, information about your employer.
Education information: Education records directly related to a student maintained by an educational institution or party acting on its behalf, such as grades, transcripts, class lists, student schedules, student identification codes, student financial information, or student disciplinary records.
Sensitive personal information: Social Security number, driver’s license number, state identification number, or passport numbers, account log-in, financial account in combination with any required security or access code password, or credentials allowing access to an account.
Inferences drawn from personal information we collect.

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We have collected the same categories of personal information in the 12 months prior to the date of this Privacy Policy.

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Notice at Collection: Purposes for Collecting Personal Information

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We may process or disclose the personal information we collect about you for the following commercial or business purposes:

The performance of our contractual and legal obligations (including applicable anti-money laundering, KYC and other related laws and regulations) in assessing your suitability for investing in a fund or otherwise to do business with us.
Ongoing communication with potential investors, their representatives, advisors and agents, (including the negotiation, preparation and signature of documentation) during the process of admitting potential investors to the relevant fund(s) and execution of related documentation (e.g., the subscription agreement).
The ongoing administrative, accounting, reporting and other processes and communication required to operate our business and/or the relevant fund.
To administer, manage and set up your investor account(s) to allow you to purchase your holding (of shares) in the relevant fund(s).
To facilitate the execution, continuation or termination of the contractual relationship between you and the Partnership and/or the relevant fund (as applicable).
To facilitate the transfer of funds, and administering and facilitating any other transaction, between you and the relevant fund.
To audit and perform verifications related to investor interactions, including but not limited to, verifying the quality and effectiveness of services and compliance.
To maintain the safety, security and integrity of our products and services, databases, technology assets and business, including to detect security incidents, and protect against malicious, deceptive, fraudulent, or illegal activity.
To enable any actual or proposed assignee or transferee of the fund(s) to evaluate proposed transactions.
To facilitate business asset transactions involving the relevant fund.
To fulfil any legal or regulatory requirement.
Keeping investors informed about our business generally, including offering opportunities to make investments other than in the relevant fund.
To monitor or improve our website(s) and applications.
To administer human resources functions such as performance reviews and appraisals, sick leave, training, internal organizational charts, internal communications, and termination or retirement issues.
To administer payroll, benefits, insurance, and other benefits-related functions.
To manage personnel communications including authorizing, granting and administering access to or use of our systems, facilities, devices and records.
To investigate and resolve employee complaints, grievances or misconduct.
Any other purpose that has been notified, or has been agreed, in writing.

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Notice at Collection: Retention Periods

We retain the categories of personal information we collect for as long as reasonably necessary for the purposes set forth in this Privacy Notice or as may be required under applicable law or to protect our legal rights.

We do not sell personal information or share it for purposes of cross-context behavioral advertising.

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Sources of Personal Information

We collect and maintain personal information from the following sources:

Information we receive from you in conversations over the telephone, in voicemails, through written correspondence, via email and other electronic communications, or on subscription agreements, investor questionnaires, applications or other forms (including, without limitation, any anti-money laundering, identification and verification documentation).
Information about your transactions with us or others.
Information captured on our website, fund data room and/or investor reporting portal (as applicable), including registration information, information provided through online forms or other data processed through “cookies” or similar technologies.
Information you provide in your job application or in the course of your employment with us.
Information from third party sources, such as vendors that support KYC and other background check processes, or other financial institutions that support transactions you request.

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Use of Sensitive Personal Information

We do not use or disclose sensitive personal information to create profiles about or infer characteristics about individuals, or for any purposes that would give rise to the right to limit this use of sensitive information under applicable laws.

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Disclosure of Information for Business Purposes in the Past 12 Months

In the 12 months prior to the date of this Policy, we disclosed the following categories of personal information to third-party service providers and contractors for a business purpose. We may also disclose your information to other parties as may be required by law or regulation, or in response to regulatory inquiries.

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Personal Information CategoryCategory of Third-Party RecipientsA. IdentifiersAdministrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.B. Personal information categories listed in the California Customer Records statute (Cal. Civ. Code § 1798.80(e))Administrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.C. Protected classification characteristics under California or federal lawAdministrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.D. Commercial informationAdministrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.F. Internet or other similar network activityAdministrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.L. Sensitive Personal InformationAdministrators, lenders, borrowers, banks, auditors, law firms, governmental agencies or pursuant to legal process, self-regulatory organizations, consultants and placement agents.

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Business Purposes for Disclosures of Personal Information

We disclose personal information to our third party service providers that perform services on our behalf, in connection with the operation of our business, including fund and/or advised account transactions, partner financial or other reports, or for other purposes relating to raising and managing our funds and overseeing their investments to third parties.

Service providers include:

Broker-dealers, custodians, banks, lenders, borrowers, and others that facilitate transactions for investors and clients or our private funds.
Other service providers to the general partner, the manager, their affiliates and/or our private funds, such as legal, consulting, administration, accounting, auditing or tax preparation services and placement agents.
Portfolio companies, co-investors in portfolio companies and their respective advisors, if requested in connection with an investment.
Other private fund partners, parallel fund partners or investors in alternative investment vehicles in connection with closing documentation, investor reports, financial statements or other investor communications.
Other administrators, lenders, borrowers, banks, auditors, accountants, law firms, tax advisors.

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We may also disclose any of the categories of personal information in the “Notice at Collection: Personal Information We Collect” section above as required or permitted by law to comply with a subpoena or similar legal process or government request, or when we believe in good faith that disclosure is legally required or otherwise necessary to protect our rights and property or the rights, property or safety of others, including to law enforcement agencies, and judicial and regulatory authorities. We may also disclose your personal information to other persons or entities to help detect and protect against fraud or data security vulnerabilities. And we may disclose or transfer your personal information in the event of an actual or potential sale, merger, reorganization, or other restructuring.

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Cookies

We may use cookies, pixels or similar tracking technologies to support the operation of our Site. You may configure your browser to restrict or block certain cookies, but please note that certain features on our Site may not work properly. We do not use cookies for cross-context behavioral advertising, nor sell your personal information to third parties.

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Personal Information of Minors

Our website and services are not directed to minors under the age of 13 and we do not knowingly sell or share for cross-context behavioral advertising the personal information of California residents under age 16 without their consent.

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SMS Consent and Terms and Conditions

Mobile information shared with the use of the Global Relay application in connection with any business performed for you by S3 Capital will not be shared with third parties/affiliates for marketing/promotional purposes. S3 Capital will not send you text messages without your prior consent, and will include clear opt-out procedures so that you can stop receiving such communications at any time. To the extent text messaging originator opt-in / opt-out data and consents are collected, such information will be solely used by S3 Capital’s third party providers to manage the text message opt-in / opt-out procedures.

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Third Party Websites

Our website may contain links to third-party websites, including social media buttons that link to social media platforms. This Privacy Notice does not govern how those third parties or social media platforms collect or use personal information and we do not endorse or have control over their practices. The privacy policies and terms of use for those third parties’ websites/apps or social media platforms govern those companies’ privacy practices. We are not responsible for the content or privacy practices of any third-party websites or platforms.

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Information Security

We consider the protection of sensitive information to be a sound business practice, and to that end we employ physical, electronic and procedural safeguards designed to protect your non-public personal information in our possession or under our control.

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Further Information

We reserve the right to change our privacy policies and this Privacy Notice at any time. In the event that we update this Privacy Notice, we will post the updated policy on this page.

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Contact Us

If you have any questions or concerns about this Privacy Notice, wish to access this Privacy Notice in an alternative format, or wish to exercise any rights, submit requests, or appeal any of our decisions in connection with this Privacy Notice (each, a “Communication“), please contact us at: 212-300-8800.

We verify Communications by matching information provided in or in connection with your Communication to information contained in our records. Depending on the sensitivity of the Communication and the varying levels of risk in responding to such Communications, we may request further information or your investor portal access credentials, if applicable, in order to verify your Communication.

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Rights under the CCPA

We provide residents of California with rights with respect to the personal information we may collect about them under their state’s data privacy law.

Right to Delete: You have the right to request that we delete any of your personal information that we retain, subject to certain exceptions. We will notify you in writing if we cannot comply with a specific request and provide an explanation of the reasons.

Right to Know: You have the right to know whether we are processing your personal information. California’s privacy law gives California residents the right to request the following additional information collected since January 1, 2022: Categories of personal information we have collected about you; categories of sources from which such personal information was collected; categories of personal information that were sold or disclosed for a business purpose about the consumer; categories of third parties to whom the personal information was sold or disclosed for a business purpose; and the business or commercial purpose for collecting or selling your personal information.

Right to Access/Copy: You have the right to access or request a copy of your personal information.

Right to Correct: You have the right to request that we correct any inaccuracies in the personal information that we retain, subject to certain statutory exceptions. We will notify you in writing if we cannot comply with a specific request and provide an explanation of the reasons.

Right to Limit the Use of Sensitive Personal Information: California’s law gives residents the right to request that we not use or disclose their sensitive personal information for inferring characteristics about a consumer or for purposes other than to provide goods and services, protect and investigate fraud and other security-related issues, nonpersonalized advertising, and similar purposes described in the law. We do not process sensitive personal information for inferring characteristics or for purposes other than excepted purposes, such as fraud prevention and to provide the goods and services you request.

Right to Non-Discrimination: We will not discriminate against you for exercising your rights under the CCPA, including by denying service, suggesting that you will receive, or charging, different rates for services or suggesting that you will receive, or providing, a different level or quality of service to you.

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How to Exercise Your Rights

To exercise any of your rights under the CCPA, or to access this California Privacy Notice in an alternative format, please submit a request using any of the methods set forth below.

Call us using the following toll-free number: 212-300-8800.
Submit a request online using the following online form: https://s3cap.com/contact
Email us at the following address: Investors@s3cap.com

We will contact you to confirm receipt of your request under the CCPA and request any additional information necessary to verify your request. We verify requests by matching information provided in connection with your request to information contained in our records. You may designate an authorized agent to make a request under the CCPA on your behalf, provided that you provide a signed agreement verifying such authorized agent’s authority to make requests on your behalf. If we request you verify your request and we do not receive your response, we will pause processing your request until such verification is received.

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Please contact us at the email address above with any questions or concerns about this California Privacy Notice.

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Exercising Your Rights Using Authorized Agents

Agents can submit opt-out requests here: https://s3cap.com/contact

If you use an agent to submit other types of requests, the agent will need to provide us with your signed permission indicating the agent has been authorized to submit the request on your behalf. You will also be required to verify your identity directly with us or confirm with us that you provided the agent with permission to submit the request. Agents can submit requests on behalf of California residents (other than opt-out requests) by emailing us at Investors@s3cap.com.

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