INVESTING SINCE 2010 PARTNER LOGIN MENU + PRIVACY POLICY Privacy Policy (Including Notice to CA Residents) Last updated: November 25, 2020 About us This privacy notice (“Notice“) applies to the New Mainstream Capital Management website (nms-capital.com) (“Website“). This Notice describes our privacy practices with respect to the personal information we collect in connection with this Website, types of personal information we collect about you, how we may use that information and with whom we share it. It also describes the measures we take to protect your personal information, your rights in relation to your personal information and how you can reach us to answer any questions you may have about our privacy practices or this Notice. This Notice applies only to the Website and does not apply to our off-line collection of information. At New MainStream Capital Management Holding, LLC (“NMS“, “we”, “us” or “our”), we are committed to handling information about you responsibly and we recognize and respect your right to privacy. We are a controller for the purposes of the applicable privacy laws in the jurisdiction in which we operate, including the General Data Protection Regulation 2016/679 (“GDPR”), and the European Privacy and Electronic Communications Directive (Directive 2002/58/EC) (together, the “Data Protection Laws”). The terms “you” or “your” in this Notice refer to the users of this Website. Note for California Residents If you are a California resident, there are additional disclosures, rights and procedures that apply to you or from which you may benefit, in addition to those described in this general Notice; please see our Privacy Notice for California Residents for more information. PERSONAL INFORMATION WE COLLECT AND HOW WE USE YOUR PERSONAL INFORMATION If you are a California resident, please see our Privacy Notice regarding personal information we collect for California Residents. NMS may collect and retain two types of information about users of the Website: (i) personal information that individual visitors voluntarily provide when using the Website or when contacting us through the Website (such as via forms or in emails); and (ii) tracking data, which is automatically collected from every Website visitor. For more information about the tracking data we collect please see the section below on cookies. When you or your employer applies to become a client or investor, and during the course of our dealings with you, we will collect some personal information about you. We will provide you with the applicable client privacy notice with the relevant application form. If you would like to receive a copy of our client privacy notice, please submit a request to James Wilson (jwilson@nms-capital.com). You may choose to provide personal information (such as your name, address, telephone number and email address) on our Website. Here are the ways you may provide the information and the types of information you may submit. We also tell you how we may use the information. The list below explains those uses for which we have a legitimate business interest. NMS Extranet You may access the NMS extranet. You may provide us with information such as your name, telephone number and email address when registering for an account and to access that account. We use this information as part of your registration and also to contact you about changes and updates regarding the extranet. News, Alerts and Publications On our Website, you may sign up to receive news, alerts and publications from NMS. To sign up, we may ask you for information such as your name, address, telephone number, email address and topics of interest. We use the information you provide to send you the communications you request. We also may use the information to communicate with you about other topics that we believe may be of interest to you, subject to obtaining your consent in accordance with applicable law. Contact Us If you communicate with us through the “Contact Us” link on our Website, we may ask you for information such as your name, email address and telephone number so we can respond to your questions and comments. We also may use the information you provide to communicate with you about topics that we believe may be of interest to you, subject to obtaining your consent in accordance with applicable law. Other Website Features Our Website offer various features, which we may change from time to time. We may ask you to submit certain personal information so we can provide you with and communicate with you about these features, subject to obtaining your consent in accordance with applicable law. Other Uses of Information We may use the personal information you provide on the Website for our internal purposes. These purposes include administration of the Website, market research, and data analytics. We may also transfer or assign your information pursuant to or during negotiation of any merger, purchase, reorganization or other transaction relating to NMS or our assets, in whole or in part. We also may use the personal information we collect to protect us against and prevent fraud, claims, and other liabilities and to comply with or enforce applicable legal requirements, and our policies and terms. We use personal information for these purposes when it is necessary to protect, exercise or defend our legal rights, or when we are required to do so by applicable law. If you provide personal information about someone else, it is your responsibility to ensure that you have obtained appropriate authority to disclose that personal information to us for the purposes as described in this Notice. In particular, you shall ensure the relevant individual is aware of the various matters detailed in this Notice, as applicable, how to contact us, the reasons we collect personal information, the individual’s right to obtain access to the information, and the consequences if the information is not provided. Where we are relying on your consent to process your personal information, you are entitled to withdraw your consent at any time. Please note, if you do withdraw your consent, this will mean that we will stop similar future processing; it will not invalidate any processing which we previously undertook before you withdrew your consent. You may decline to provide any personal information, but please realize that you may therefore be unable to access certain services and sections of the Website. WITH WHOM WE SHARE YOUR PERSONAL INFORMATION If you are a California resident, please also see our Privacy Notice for California Residents. We may disclose personal information to: our legal and other professional advisers, auditors; governmental and regulatory bodies such as tax authorities, financial regulators/ombudsmen and non-financial regulators (depending on the circumstances of the sharing); other organizations and businesses who provide services to us under contract such as maintaining or servicing customer accounts, providing marketing services to us (such as a placement agent), back up and server hosting providers, IT software and maintenance providers, document storage providers and suppliers of other back office functions; buyers or successor managers of a fund and their professional representatives as part of any restructuring or sale of our business or assets; identity verification agencies; and/or Companies related to NMS by common ownership or control, including financial and nonfinancial companies (“Affiliates”) for administration of their products and services, conducting marketing and credit checks. NMS is an affiliate to each fund in the NMS family of funds. TRANSFER OF PERSONAL INFORMATION We may transfer your personal information to jurisdictions which do not offer the same level of protection as in your home jurisdiction and, in such circumstances, we will comply with the requirements under applicable Data Protection Laws to ensure that there are appropriate safeguards in place to protect the personal information and will ensure that we will only disclose such information on a need to know basis and solely for the purposes of complying with our obligations in the context of providing services, including any related legal or regulatory requirements. HOW WE KEEP PERSONAL INFORMATION SECURE We take technical and organizational measures to keep your information confidential and secure in accordance with our internal procedures covering the storage, access and disclosure of information. Information may be kept on our information technology systems, in the information technology systems of our third party service providers, or in paper files. HOW LONG WE WILL RETAIN YOUR PERSONAL INFORMATION We may keep personal information provided we have an ongoing legitimate business need to do so (including without limitation to provide you with a service that you have requested or to comply with any applicable legal, tax or accounting requirements). We may also retain personal information for the purposes of responding to any questions or complaints, maintaining records according to rules that apply to you, or preventing fraud or other financial crime. YOUR RIGHTS If you are a California resident, please also see our Privacy Notice for California Residents. We respect your legal rights in relation to your personal information. In accordance with applicable Data Protection Laws in your jurisdiction, you may have certain rights over your personal information including a right to object to the processing of your information. You will not be able to use these rights in all circumstances. You are also entitled to make a complaint to the regulator. Where applicable, you have the right to: be informed about our processing of your personal information; have inaccurate/incomplete personal information corrected/completed; object to the processing of your personal information; restrict the processing of your personal information; have your personal information erased; request access to your personal information and to obtain information about how we process it; move, copy or transfer your personal information digitally; and object to automated decision making, such as profiling. To exercise your rights as set out above, please write to us at James Wilson (jwilson@nms-capital.com), 5949 Sherry Lane, Suite 1080, Dallas, TX 75225. There is no fee for making these requests. However, if your request is excessive or unfounded, we can charge a reasonable fee or refuse to comply with it. We may request that you provide information necessary to verify your identity before responding to any request you make. You also have the right to lodge a complaint with your local data protection regulator if you think that we have infringed any of your rights. You can request, at any time, that the personal information provided is not used to contact you about other products and services by sending an email to James Wilson (jwilson@nms-capital.com). If you are unhappy about the way in which we collect or use the personal information or the way in which a complaint has been handled, you have a right to complain to the data protection authority in the jurisdiction in which you are domiciled, or where the alleged infringement of the Data Protection Laws has taken place. For more information please contact your local data protection authority. If you do not know who this is please contact James Wilson (jwilson@nms-capital.com) so we can help you identify the correct authority. QUESTIONS REGARDING NMS’ PRIVACY POLICY You can contact James Wilson (jwilson@nms-capital.com) in the event you have any questions regarding NMS’ privacy policy. COOKIES We and our third-party service providers collect certain information by automated means when you visit our Website, such as how many users visit our Website and the pages accessed. By collecting this information, we learn how to best tailor the Website to our visitors. We collect this information through various means such as “cookies,” “web beacons” and IP addresses. WHAT ARE COOKIES? Cookies are small text files that are placed on your computer by websites that you visit. They are widely used in order to make websites work, or work more efficiently, as well as to provide information to the owners of the site. Cookies are typically assigned to one of four categories, depending on their function and intended purpose: absolutely necessary cookies, performance cookies, functional cookies, and cookies for marketing purposes. Types of cookies and why we use them Absolutely necessary cookies: These cookies are essential to enable you to move around a website and use its features. Performance cookies: These cookies collect information about how you use our websites. Information collected includes, for example, the Internet browsers and operating systems used, the domain name of the website previously visited, the number of visits, average duration of visit, and pages viewed. These cookies only collect information in an aggregated format. Performance cookies are used to improve the user-friendliness of a website and enhance your experience. Functionality cookies: These cookies allow the website to remember choices you make (such as your username or ID, language preference, or the area or region you are in) and provide enhanced, more personal features. These cookies can also be used to remember changes you have made to text size, fonts, and other customizable parts of web pages. They may also be used to provide Services you have asked for, such as watching a video or commenting on a blog. These cookies cannot track your browsing activity on other websites. Targeting and advertising cookies: These cookies track browsing habits and are used to deliver targeted (interest-based) advertising. They are also used to limit the number of times you see an ad and to measure the effectiveness of advertising campaigns. They remember that you have visited a website and this information is shared with other organizations, such as advertisers. Our Website may use analytics to create statistical reports. These reports would tell us, for example, how many users visited our Website, what pages have been browsed, and from what geographic regions users visited the Website. The information collected through the use of analytics may include, for example, your IP address, the website from which you visited us, the type of device you used and your search query that led you to the Website. Traffic information on our Website is accessed only by authorized personnel. We do not use any of this information to directly identify visitors and we do not share it with third parties. We process personal information for these purposes because we have a legitimate interest in understanding how our Website is used. Our Website is not designed to respond to “do not track” signals received from browsers. MANAGING COOKIES You can manage website cookies in your browser settings, and you always have the choice to change these settings by accepting, rejecting, or deleting cookies. If you choose to change your settings, you may find that certain functions and features will not work as intended. All browser settings are slightly different, so to manage cookies, you should refer to the relevant settings within your browser. We understand that you may want to know more about cookies. Here are some useful resources that provide detailed information about types of cookies, how they are used, and how you can manage your cookie preferences: www.aboutcookies.org or www.allaboutcookies.org. Please click below for detailed information on how to disable and delete cookies in some commonly used browsers: Mozilla Firefox® Microsoft® Internet Explorer Google Chrome™ Safari® To find information relating to other browsers, visit the browser developer’s website. To opt out of being tracked by Google Analytics across all websites, visit http://tools.google.com/dlpage/gaoptout. LINKS TO THIRD PARTY SITES The Website may provide access or contain links to Internet sites and services owned and operated by third parties. Inclusion of these links and services on the Website does not constitute our endorsement of the materials on those third-party sites and does not signify any association with the owners or operators of those third-party sites and services. We are not responsible for and have no control over the privacy policies of those sites. We encourage you to review the privacy policies of those sites prior to providing them with any information. You agree that we will not be responsible for or liable for any loss or damage of any sort incurred as the result of any of your transactions with third parties. Any questions, complaints, or claims related to any third-party product or service should be directed to the appropriate vendor. CHANGES TO THIS NOTICE We reserve the right to update this Notice at any time, and we will notify you when we make any substantial updates. We will also notify you in other ways from time to time about the processing of your personal information. For example, if you take out a new product with us. Privacy Notice for California Residents Updated and Effective as of July 1, 2020 Please note, other sections of the general Notice apply to California residents, so please read the Notice above in its entirety. In particular, you are encouraged to read the following sections: How we keep your personal information secure, How long will we retain your personal information, Cookies, What are cookies?, Absolutely necessary cookies, performance cookies, Targeting and advertising cookies and Managing cookies. “Personal Information,” as used in this Privacy Notice for California Residents, means information that identifies, relates to, describes, is reasonably capable of being associated with, or could reasonably be linked, directly or indirectly, with a particular consumer or household. Your Rights under the California Consumer Privacy Act of 2018 (“CCPA”) California residents have the right to request that we disclose to them what Personal Information we collect, use, disclose and sell; you may request to know the categories of Personal Information collected about you or the specific pieces of Personal Information collected about you (“Right to Know”). California residents have the right to request that we delete their Personal Information we have collected or maintained (“Right to Request Deletion”). California residents have the right to opt-out of the sale of their Personal Information. California residents have the right not to receive discriminatory treatment by us for the exercise of their privacy rights conferred by the CCPA. If you are a California resident, please see the section titled Exercising California Residents’ Privacy Rights, below, for information on how to exercise your CCPA rights. Notice at Collection – Personal Information to be Collected and Purposes of Use We collect the following categories of Personal Information of California residents for use for the following purposes: Categories of Personal Information to be collected: Identifiers (such as real name, alias, birth date, telephone and mobile phone numbers, postal addresses, unique personal identifiers, including, but not limited to online identifiers, Internet Protocol addresses, or other similar identifiers); and Internet or other electronic network activity information, including, but not limited to consumers’ browsing histories, search histories, and information regarding consumers’ interactions with Internet websites, applications or advertisements. Purposes for which we will use such Personal Information: Performing internal operations necessary to run our business and provide excellent services to you; Contacting investors or potential investors about changes and updates; Communicating with you with respect to requested communications and other topics that may be of interest to you; Communicating with you with respect to features of our website; Performing analytics and market research; Addressing customer service inquiries; Enabling and providing fraud prevention mechanisms; and Improving digital advertising and marketing. Our Personal Information Handling Practices in the Preceding 12 Months During the preceding 12 months, we have collected the following categories of Personal Information of California residents from the following categories of sources, for use for the following purposes: Categories of Personal Information collected: Identifiers (such as real name, alias, birth date, telephone and mobile phone numbers, postal addresses, unique personal identifiers, including, but not limited to online identifiers, Internet Protocol addresses, or other similar identifiers); and Internet or other electronic network activity information, including, but not limited to consumers’ browsing histories, search histories, and information regarding consumers’ interactions with Internet websites, applications or advertisements. Sources of Personal Information collected: You, the Consumer directly (including from your device); Our service providers; and Data analytics providers. Purposes for Collecting Personal Information: Performing internal operations necessary to run our business and provide excellent services to you; Contacting investors or potential investors about changes and updates; Communicating with you with respect to requested communications and other topics that may be of interest to you; Communicating with you with respect to features of our website; Performing analytics and market research; Addressing customer service inquiries; Enabling and providing fraud prevention mechanisms; and Improving digital advertising and marketing. Disclosure of your Personal Information: The following chart details the categories of Personal Information that we have disclosed to third parties for a business purpose during the preceding 12 months and the third parties to whom we have disclosed such Personal Information during the preceding 12 months. Categories of Personal Information Disclosed Categories of Third Parties with Whom We Have Shared the Information Identifiers · Name and aliases · Postal address · Email address · IP address · Telephone and mobile phone numbers Advertising service providers Internet service providers Data analytics providers Anti-fraud protection providers Operating systems and platforms Internet or other electronic network. · Behavioral data · Browsing histories · Search histories · Device type · Advertising service providers Internet service providers Data analytics providers Anti-fraud protection providers Operating systems and platforms Sale of California Residents’ Personal Information We have not sold any California residents’ Personal Information to third parties in the preceding 12 months. As of January 1, 2020, we do not sell California residents’ Personal Information. Minors and Children Under 16 We do not have actual knowledge that we sell the Personal Information of minors under 16 years of age without the affirmative authorization of such consumers or their parental guardians. Exercising California Residents’ Privacy Rights As a California resident, you have certain additional rights with respect to your Personal Information, as described above in the section Your Rights under the California Consumer Privacy Act of 2018 (“CCPA”). You can submit your request to exercise these various rights (including the Right to Know and the Right to Request Deletion) in the following manner: 1-800-553-8268 Via email to James Wilson (jwilson@nms-capital.com) Process for Verifying a Consumer’s Request We will verify your request to exercise your Right to Know or the Right to Request Deletion as a California resident, using the following process: Whenever feasible, we will match, or will engage a third-party identification verification service to match, the identifying information provided by you to the Personal Information that we maintain already on our systems. We will generally avoid requesting additional information for the purposes of verification. Only if we are unable to verify your identity or residency from the information already maintained by us will we request additional information from you. The additional Personal Information collected will only be used for the purposes of accurately verifying your identity in order to effectively allow you to exercise your rights under the CCPA and for the purposes of fraud prevention. Once we have satisfied these purposes, we will delete the additional Personal Information collected from you as soon as practically possible, except as necessary to comply with the record-keeping requirements of the CCPA. Generally, we will require you to provide us with data points that ensure that we can verify your consumer request to a reasonable degree of certainty. Inability to Verify a Request If we are unable to verify your identity to a degree of certainty as required by the CCPA through any reasonable method, we will state that we are unable to verify your identity in a written response to you. Household Requests If all the consumers of a household jointly request access to specific pieces of information for the consumers of the household or deletion of the household’s Personal Information, we will comply with the request if we can verify (a) the identity of all members of the household to the degree of certainty required by the CCPA and (b) that each individual making the request is currently a member of the applicable household. Authorized Agents As a California resident, you may designate an authorized agent to act on your behalf to make a request under the CCPA by using the same channels for exercising your rights described above, such as requesting disclosure of any Personal Information sold or collected by NMS; or requesting deletion of such Personal Information. If you should use an authorized agent to exercise your various rights under the CCPA, we may require that you (a) provide your authorized agent with signed permission to exercise your various rights, (b) verify your own identity directly with us through the processes laid out in the section titled Exercising California Residents’ Privacy Rights, above and/or (c) confirm with us directly that you have provided your authorized agent with permission to submit the request on your behalf. If your authorized agent does not submit proof that they have been authorized by you to submit verified requests for disclosure and deletion, we reserve the right to deny such a request that we have received. Concerns about our Privacy Policy and Practices If you have questions or concerns about our privacy policy or practices, please contact James Wilson (jwilson@nms-capital.com). ABOUT US INVESTMENT PRINCIPLES PORTFOLIO TEAM NEWS ESG CONTACT INVESTMENT PRINCIPLE NO.08 Never use all the debt that is available. Our returns are driven by growth, investing in people, and making solid strategic decisions – not by financial engineering. ALL INVESTMENT PRINCIPLES NEW YORK 32 Old Slip, Suite 32D New York, NY 10005 212-422-7099 info@nms-capital.com DALLAS 5949 Sherry Lane, Suite 1080 Dallas, TX 75225 214-871-8350 info@nms-capital.com COPYRIGHT © 2021 NMS CAPITAL, LLC. ALL RIGHTS RESERVED. OUR OVERVIEW • PRIVACY POLICY • TERMS OF USE • PARTNER LOGIN