Privacy Policy

Information regarding the privacy policy and procedures of Axton Management, L.P. (collectively with its affiliates, the “Company”) is provided below.

FACTS

What does the Company do with your personal information?

Why?

Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.

What?

The types of personal information we collect and share depend on the investments you have with us. This information can include:

  • Social Security number and investment experience
  • Account balances and account transactions
  • Assets and credit history

When you are no longer our client, we continue to share your information as described in this notice.

How?

All financial companies need to share clients’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their clients’ personal information; the reasons the Company chooses to share; and whether you can limit this sharing.

Reasons we can share your personal information

For our everyday business purposes – such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Does the Company share?

Yes

Can you limit this sharing?

No

Reasons we can share your personal information

For our marketing purposes – to offer our products and services to you

Does the Company share?

Yes

Can you limit this sharing?

No

Reasons we can share your personal information

For joint marketing with other financial companies

Does the Company share?

Yes

Can you limit this sharing?

No

Reasons we can share your personal information

For our affiliates’ everyday business purposes – information about your transactions and experiences

Does the Company share?

Yes

Can you limit this sharing?

No

Reasons we can share your personal information

For our affiliates’ everyday business purposes – information about your creditworthiness

Does the Company share?

No

Can you limit this sharing?

We don’t share this information.

Reasons we can share your personal information

For nonaffiliates to market to you

Does the Company share?

No

Can you limit this sharing?

We don’t share this information.

Questions?

Contact Investor Relations by e-mail at investorrelations@axton.com.

Who we are

Who is providing this notice? The Company.

What we do

How does the Company protect my personal information? We permit access only by our authorized employees who need access to your information to provide services, and we maintain physical, electronic and procedural safeguards that comply with federal law.

How does the Company collect my personal information?

We collect your personal information, for example, when you

  • Open an account
  • Give us your contact information
  • Give us your income information
  • Make a wire transfer
  • Tell us where to send the money

We also collect your personal information from others, such as credit bureaus, affiliates or other companies.

Why can’t I limit all sharing?

Federal law gives you the right to limit only:

  • sharing for affiliates’ everyday business purposes—information about your creditworthiness
  • affiliates from using your information to market to you
  • sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

DEFINITIONS

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies.

Non-affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies.

  • Non-affiliates we share with can include your broker or agent, or service providers or financial companies who maintain or service client accounts for the Company or who have joint marketing arrangements with the Company.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

  • Our joint marketing partners include the Company’s placement agents.