Privacy Notice

Updated: April 5, 2021

We at Sub-Four Capital Management, LLC, including our  related entities listed in Appendix A  (“Sub-Four“), respect your privacy rights and concerns. This Privacy Notice describes how we process Personal Data (as defined below):

  • that we collect on Sub-Four.com, and other websites or applications that may link to this Privacy Notice (the “Site” or “Sites”);
  • that we collect when you visit our  Sites; and
  • through other data collection points or notices that are referenced in this Privacy Notice.


We provide information on the types of Personal Data we collect, how we use the information, with whom we may share it and choices available to you regarding our use of the information. We also describe the measures we take to protect the security of the information and how you can contact us about our privacy practices. “
Personal Data” is any information that relates to, describes, identifies or can be used, directly or indirectly, to identify an individual, such as name, address, date of birth, personal identification numbers, sensitive personal information, and economic information).

If you have objections to the Privacy Notice, you should immediately discontinue use of the Sites.

Children Under 13; Notice to Minors

This Site is not intended for children under 13 years of age. No one under age 13 may provide any Personal Data to or on the Site. We do not knowingly collect Personal Data from children under the age of 13. If you are under 13 years of age, do not use or provide any Personal Data on this Site, register on this Site, use any interactive or public comment features on this Site, or provide any Personal Data about yourself to us, including your name, address, telephone number, email address, or any screen name or user name you may use. If we learn we have collected or received Personal Data from a child under 13 without verification of aprentla consent, we will delete that information. If you believe that we might have any information from or about a child under 13, please contact us at privacy@sub-four.com.

Information We Obtain

Information that you give us

The types of information we that we may collect concerning individuals include:

  1. 1. business and personal contact information (such as name, postal and email addresses, and telephone number); and
  2. 2. other information you provide to us (such as information provided by registering for email alerts, filling in forms, and online registration details).

Depending on the nature of our relationship with you, in the past 12 months we may have collected Personal Data concerning you in the following categories:

  • a. Identifiers (e.g., real name, postal address, email address, government ID, financial information);
  • b. Commercial information (e.g., products or services purchased, obtained, or considered, personal information disclosed in a sale or acquisition process);
  • c. Internet or other network activity (e.g. IP address, browsing or search history, information regarding interaction with an internet website, application, or advertisement);
  • d. Geolocation data (e.g. physical location);
  • e. Professional or employment-related information (e.g. job history, performance evaluations);
  • f. Non-public education information (e.g. education records); and
  • g. Inferences drawn from other personal information (e.g. profiles reflecting preferences and trends).

In connection with our Investor Portal, available at sub-four.com, you may be required to provide: login credentials; financial information (such as banking information and an account number); taxpayer ID number; jurisdiction of tax residence; date of birth; and certain investment-related information. Please see our separate Investor Data Privacy Notice for detailed information as to how we use your Personal Data.

Other information:

In connection with electronic interactions you have with us or our service providers (including by email, phone or other forms of electronic communication), we may record and monitor details of those interactions, including their content, to the extent permitted or required by applicable law.

We may also collect some information from other sources, including:

  • a. if we have a business relationship with the organization that you represent, your colleagues or other business contacts may give us information about you such as your contact details or details of your role in the relationship; and
  • b. information from third party data providers or publicly available sources for anti-money laundering, background checking and similar purposes, and to protect our business and comply with our legal and regulatory obligations.

If you provide information to us about another person, you should ensure that you comply with any legal obligations that may apply to your provision of the information to us.

Information We Obtain By Automated Means

When you visit our Sites or open our emails, we may collect certain information by automated means (such as by cookies, web server logs, web beacons and JavaScript). The information we collect in this manner includes your IP address, network location, browser characteristics, device characteristics, operating system, referring URLs, information on actions taken on our Sites, and dates and times of website visits. Cookies are files that websites send to your computer or other Internet-connected device to uniquely identify your browser or to store information or settings on your device – please see our Cookie Policy for information about what cookies are and how we use cookies and similar technology. We also may use these and similar technology in emails we send you to collect certain information, such as whether you opened or clicked on links in our email.

Our Sites may use cookies (such as HTTP, HTML5 and Flash cookies) as well as other types of local storage (such as browser-based or plugin-based local storage). Some of these cookies may be placed by third parties such as our service providers. Your browser may tell you how to be notified when you receive certain types of cookies and how to restrict or disable certain cookies. You also may be able to delete your Flash cookies or adjust your Flash cookie settings by visiting the Adobe Flash Website Storage Settings Panel and Global Storage Settings Panel. Please note, however, that without cookies you may not be able to use all of the features of our Sites or other websites and online services.

In conjunction with gathering information through cookies, our web servers may log information such as your device type, operating system type, browser type, domain, and other system settings, as well as the language your system uses and the country and time zone in which your device is located. We also may record information such as the address of the web page that referred you to our Sites and the IP address of the device you used to connect to our Sites. We may log information about your interaction with the Sites, such as which pages you visit. To control which web servers collect information by automated means, we may place tags on our web pages called “web beacons”, which are small files that link web pages to particular web servers and their cookies. We also may send instructions to your device using JavaScript or other computer languages to gather the sorts of information described above and other details about your interactions with the Sites.

We may use third-party web analytics services on our Sites, such as those of Google Analytics. These service providers help us analyze how visitors use the Sites. The information obtained for this purpose (including your IP address and other information collected by automated means) may be disclosed to or collected directly by these service providers. To learn about opting out of Google Analytics, please click here.

The providers of third-party plugins and widgets on our Sites, such as embedded videos and social media sharing tools, may use automated means to collect information regarding your use of the Sites and your interactions with the plugins and widgets. This information is subject to the privacy policies or notices of the providers of the plugins and widgets.

Information about our cookie practices is available here

How We Use the Information We Obtain

We may use, disclose or otherwise handle the information described in this Privacy Notice for the following purposes to:

  • operate, evaluate, develop, promote, and improve our business (including developing new products and services; enhancing, improving and analyzing our products and services; managing our communications; managing our premises; and performing accounting, auditing and other internal functions);
  • create and manage any relationship that you may seek or establish with us;
  • comply with and enforce applicable legal requirements, relevant industry standards and our policies, including our Terms and Conditions of Use;
  • protect against, identify and prevent fraud, money-laundering, breach of confidence, cyber attack, theft of proprietary materials, financial or business crimes, and other unlawful activity;
  • in some cases, in order to operate, administer and improve the user’s experience of the Sites;
  • provide our products and services to you, such as market commentary and email alerts;
  • send you (or produce) promotional materials, newsletters and other communications, including in visual and audio form (such as videos, podcasts and online seminars);
  • communicate with you about, and administer your participation in, special events, programs, promotions, offers, surveys and market research;
  • respond to your inquiries;
  • perform data analyses (including market and consumer research, demographic analyses and anonymization and aggregation of information);
  • operate, schedule and facilitate online meetings, webinars and (video) conferences (for example, using Zoom and other online meeting platforms); and
  • record audio and video content (for example, of our in-person or online events, training, and meetings where permitted by, and collected in accordance with, applicable data protection law).

In addition, we may use information collected through cookies, web beacons, web server logs and other automated means for purposes such as (i) customizing our users’ visits to our Sites, (ii) delivering content tailored to our users’ interests and the manner in which our users browse our Sites, and (iii) managing our Sites and other aspects of our business.

We may also use the information in other ways for which we provide specific notice at the time of collection.

We will only process your Personal Data as necessary so that we can pursue the purposes described above. Where we process your Personal Data for our legitimate interests as a business or those of a third party, we do so only where we have concluded that our processing does not prejudice you or your privacy in a way that would override our legitimate interest in pursuing those purposes. Personal Data that we collect will be retained, and then securely disposed of, in accordance with our retention policies and procedures.

Online Tracking and Interest-Based Advertising

We and third parties acting on our behalf (such as Facebook, Twitter and LinkedIn) may collect information about your online activities over time and across third-party websites to provide you with advertising about products and services tailored to your interests. Where required by applicable law, we will obtain your consent for the processing of your Personal Data for direct marketing purposes.  If you do receive direct marketing communications from us (for example, by post, email, fax or telephone), you may opt-out by clicking the link in the relevant communication, completing the forms provided to you (where relevant), or by emailing privacy@sub-four.com.

You may see our ads on other websites or mobile apps because we participate in advertising networks. Ad networks allow us to target our messaging to users by considering demographic data, users’ inferred interests and browsing context. These networks track users’ online activities over time by collecting information through automated means (such as by cookies, web server logs, web beacons and other similar technologies). The networks use this information to show ads that may be tailored to individuals’ interests, to track users’ browsers or devices across multiple websites or apps, and to build a profile of users’ online browsing activities. The information our ad networks may collect includes data about users’ visits to websites and apps that participate in the relevant ad networks, such as the pages or ads viewed and the actions taken on the websites or apps. This data collection takes place both on the Sites and on third-party websites and apps that participate in the ad networks. This process also helps us track the effectiveness of our marketing efforts.

Do Not Track Notices

The Sites are not designed to respond to “do not track” signals received from browsers. To learn how to opt out of ad network interest-based advertising, please visit www.aboutads.info/choiceshttp://www.networkadvertising.org/choices/ or http://www.youronlinechoices.eu/.

Information We Disclose to Others

We do not disclose Personal Data we obtain about you through the Sites or other channels covered by this Privacy Notice, except as described in this Privacy Notice. We have not sold Personal Data in the 12 months preceding the date of this Privacy Notice.

We may share your Personal Data with our affiliates and subsidiaries. Depending on the nature of our relationship with you, we also may share Personal Data with service providers who perform services on our behalf, our financial and transaction counterparties, our professional advisors, and your agents and representatives. We do not authorize these persons to use or disclose the information except as necessary for the purposes for which it is provided or to comply with legal requirements.

We also may disclose information about you (i) if we are required to do so by law or legal process, (ii) to law enforcement authorities, regulators and/or other government entities and/or other competent authorities based on a lawful disclosure request, or (iii) when we believe disclosure is necessary or appropriate to prevent harm or financial loss, or in connection with an investigation of suspected or actual fraudulent or illegal activity. We reserve the right to transfer Personal Data we have about you in the event that we sell or transfer all or a portion of our business or assets (including in the event of a reorganization, spin-off, dissolution or liquidation).

In addition, we may share anonymous/aggregated information with third parties, such as service providers, in order to facilitate our business operations. We utilize the following third-party services to provide the Services, which are subject to change at any time:

Analytics Partners

Sub-Four works with companies that provide services to us to determine whether users who saw or clicked on an ad or content later bought the item displayed in the ad (or took some other action the advertiser wanted them to take). To do this, these companies may collect information about the content or ads users view, how long they spend on different pages, how they arrived on a particular page (e.g., through a search query, link from another page, or a bookmark), and how they respond to the ads we show them. Sub-Four also may share portions of our log file data, including IP address, with these partners for analytics purposes. In the event your IP address is shared, this information may be used to estimate general location and other technographics such as connection speed, whether you have visited in a shared location, and type of the device used. These partners provide information about our advertising and what you see to provide auditing, research and reporting for us and our advertisers.

The analytics providers with whom we work include, but are not limited to, the companies listed below. Some of these companies provide users choices about how they collect and use information. For more information, please review their privacy policies.


Social Buttons

Sub-Four may implement an application or “widget” from a third party on some of our sites and apps that allows interaction or content shared by users. These widgets are visible to you on the page you visit. The network providing the widget may offer controls for you to manage the widget’s appearance and functionality. Your interaction with a widget typically allows the third party to collect some information about you, including IP address, page header information, and browser information. In some cases, the third party may recognize you through its widgets even when you do not interact with the widget but visit a web page or use an app with the widget. Sub-Four allows social buttons from the following partners:


Video Content Providers   

Sub-Four partners with some video content providers to deliver engaging video content. These providers can collect your information, including your IP address, page header information, browser information, flash player version, internet speed, and the portion of the video watched.


Search Partners

The third party partners listed below may provide search and search advertising results for Sub-Four. Search advertising includes paid search and/or contextual search results. More than one search partner may be used at the same time and may change based on factors such as type of online experience, type of device used, and the country the search is performed from.

To learn more about each search partner’s data collection and use practices and what tools or controls are available to you, please visit each search partner’s privacy notice:


Service Providers

In order to provide our Services and meet our regulatory requirements, we may share your data with third-party services providers. Such service providers may require that you provide additional personal information to them in order to use the service and/or our Services. Sub-Four is not privy to such additional personal data that you may provide and the same will be processed under the respective provider’s own privacy practices:


Plug-in Providers

Information collected through third-party plug-ins and widgets on the Sites (such as information relating to your use of a social media sharing tool) is collected directly by the providers of the plug-ins and widgets. This information is subject to the privacy policies of the providers of the plug-ins and widgets, and Sub-Four is not responsible for those providers’ information practices.

Retention and Deletion of your Information

We intend to keep your Personal Data accurate and up-to-date. We will delete the information that we hold about you when we no longer need it.  We retain your Personal Data for as long as it is required by us for our legitimate purposes, to perform our contractual obligations, or where longer, such longer period as is required or permitted by law or regulatory obligations, which apply to us.

We will retain your information in line with our retention policies and, in any event, for no longer than is necessary given the purpose for which it was collected, after which it will be disposed of securely or anonymized.

Note that we may retain some limited information about you (even when we know that you have left the organization that you represent) so that we can maintain a continuous relationship with you if and when we are in contact with you again.

Your Rights and Choices

We offer you certain choices in connection with the Personal Data we collect from you. To update your preferences or submit a request, please contact us as indicated in the “How to Contact Us” section of this Privacy Notice. To the extent provided by laws applicable to our processing of your information, you may request access to the Personal Data we maintain about you or request that we correct, amend, delete or block the information by contacting us as indicated below. Where provided by law, you may withdraw any consent you previously provided to us or object at any time on legitimate grounds to the processing of your Personal Data, and we will apply your preferences going forward. Note that you may not be able to access all functionality of the Services should you choose to decline to provide some personal information. For example, we cannot process a payment should you decline to provide payment information.

These rights, subject to certain limitations, may include:

Rights of access, correction and deletion. You may have a right of access to the Personal Data that we hold about you, and to some related information, including the purpose for processing the Personal Data, the categories of recipients of that Personal Data to the extent it has been transferred internationally, and, where the Personal Data has not been collated directly from you, the source (the “category information“). You may also have the right to require any inaccurate Personal Data to be corrected or deleted.

Right to object, and portability. You can object to our use of your Personal Data for direct marketing purposes at any time and you may have the right to object to our processing of some or all of your Personal Data (and require it to be deleted) in some other circumstances. In some circumstances, you may also have a “data portability” right to require us to transfer your personal data to you or a third party, in a data portable format.

We review and verify requests to protect your Personal Data, and will act upon data protection requests fairly and in accordance with applicable data protection laws and principles.

Right to opt-out of automated profiling. Should you not wish for us to reach decisions affecting you using automated profiling or processing, you may decline such participation by emailing us at privacy@sub-four.com.

Right to opt-out of communications. You may also control the receipt of certain types of communications from Sub-Four. We may send you messages about the services we offer or your activity. Some of these messages are required, service-related messages (such as transactional messages or legal notices). Other messages are not required, such as newsletters. You can control which optional messages you choose to receive via the unsubscribe link in our emails.

If you wish to exercise any of these rights, please contact us as set out below.

Links To Other Websites

Our Sites may provide links to other websites for your convenience and information. These websites may operate independently from us. Linked websites may have their own privacy notices or policies, which we strongly suggest you review. To the extent any linked websites are not owned or controlled by us, we are not responsible for their content, any use of the websites, or the privacy practices of the websites.

Email Communications; How to Opt-Out

It is Sub-Four’s policy not to send unsolicited emails or allow third parties to contact you via the email address that you provide to Sub-Four except for as may be intended by the Sites.

Sub-Four may, from time to time, contact you to discuss business relevant to your use of the Services and, naturally, Sub-Four will contact you to respond to inquiries that you may send to Sub-Four.

In addition, from time to time, Sub-Four may contact you via email for the purpose of providing announcements, promotional offers, alerts, confirmations, surveys, and/or other general communication.

Please note that or marketing and promotional communications are opt-out. If you would like to stop receiving marketing or promotional communications via email from Sub-Four, you may opt out of such communications by clicking on the UNSUBSCRIBE link contained in each email.

Email marketing campaigns published by us may contain tracking facilities within the actual email. User activity is tracked and stored in a database for future analysis and evaluation. Such tracked activity may include but shall not be limited to: the opening of emails, forwarding of emails, the clicking of links within the email content, times, dates, and frequency of activity. This information is used to refine future email campaigns and supply you with more relevant content based around their activity.

Security of your Personal Information

Sub-Four secures your personal information from unauthorized access, use, or disclosure by restricting the same using secure sockets layer (“SSL”) and secure hypertext transfer protocols (“S-HTTP.”)

We strive to take appropriate security measures to protect against unauthorized access to or alteration of your personal information. Unfortunately, no data transmission over the Internet or any wireless network can be guaranteed to be 100% secure. As a result, while we strive to protect your personal information, you acknowledge that: (a) there are security and privacy limitations inherent to the Internet which are beyond our control; and (b) security, integrity, and privacy of any and all information and data exchanged between you and us through this Site cannot be guaranteed. Please note that non-encrypted communication using email is not secure. Thus, we cannot guarantee data security in email communication and, therefore, recommend using physical mail for confidential information.

International Transfer

We offer a US-based service. Thus, your information will likely be transferred to and processed via servers located in the United States. Canada, the United States, the European Economic Area (“EEA”) Member States, and other countries all have different laws. When your information is moved from your home country to another country, the laws and rules that protect your personal information in the country to which your information is transferred may be different from those in the country in which you live. You are advised that Sub-Four does not represent it is or can be compliant with any international data regulations outside of those in the United States. Use of our Sites and services from abroad is at your own risk.

Updates To Our Privacy Notice

This Privacy Notice may be updated periodically and without prior notice to you to reflect changes in our Personal Data practices. We will post the updated version on the Sites and indicate at the top of the Privacy Notice when it was most recently updated. Please check for any updates regularly.

How To Contact Us

If you have any questions or comments about this Privacy Notice, or if you would like us to update information we have about you or your preferences, please email us or access our web form at privacy@sub-four.com.

You also may write to:

Sub-Four Capital, LLC
Attn: Legal & Compliance
100 Spectrum Ctr Dr Ste 900
Irvine, CA 92618

Sub-Four Capital Management, LLC
Attn: Legal & Compliance
1434 Spruce St, Ste 100
Boulder, CO 80302

Please also contact us via any of the above methods if you have a disability and require an alternative format of this Privacy Notice.

If you have any complaints regarding our compliance with this Privacy Notice, please contact us first. We will investigate and attempt to resolve complaints and disputes regarding use and disclosure of personal information in accordance with this Privacy Notice and in accordance with applicable law.

If you have an unresolved privacy or data use concern that you believe we have not addressed satisfactorily, please contact sub-four.com. Under certain conditions, you may invoke binding arbitration when other dispute resolution procedures have been exhausted. You also may have the right to file a complaint with an appropriate data protection authority or other tribunal.

Appendix A

For purposes of this Privacy Notice,  below are country-specific contact details for the relevant local Sub-Four entities. References in the Privacy Notice to “we”, “us”, “our” and “Sub-Four” are references to the relevant entity below

Country

Sub-Four Entity

United States

Sub-Four Capital, LLC
Attn:  Legal & Compliance
100 Spectrum Ctr Dr Ste 900
Irvine, CA 92618

United States

Sub-Four Capital Management, LLC
Attn:  Legal & Compliance
1434 Spruce St, Ste 100
Boulder, CO 80302