PROFESSIONAL INVESTOR AGREEMENT

The Investor has, by reason of its business & financial experience, such knowledge, sophistication and experience in financial and business matters and in making investment decisions of this type that it is capable of:
1. Evaluating the merits & risks of an investment in the Securities and making an informed investment decision;
2. Protecting its own interest; and
3. bearing the economic risk of such investment for an indefinite period of time.

READ THE DISCLAIMER

DISCLAIMER | Horatius Capital Limited is an Appointed Representative of Privium Fund Management (UK) Limited (“Privium”) which is authorised and regulated by the Financial Conduct Authority (“FCA”) in the United Kingdom. The content of this website is for information only and is not intended to be independent investment research. It is not an invitation to buy or sell an investment and is not advice on investments, taxation or on any other matter.This information is not intended to be used by or distributed to any person or entity in a jurisdiction or country where this would be contrary to local law or regulation. Within the EEA, the fund is only available to Professional Investors as defined by local Member State law and regulation. Outside the EEA, the fund is only available to Professional Clients or Eligible Counterparties as defined by the FCA, and in compliance with local law. This content is not intended for distribution in the United States (“US”) or for the account of US persons, as defined in the Securities Act of 1933, as amended except to persons who are “Accredited Investors”, as defined in that Act and “Qualified Purchasers” as defined in the Investment Company Act of 1940, as amended. It is not intended for distribution to retail clients. The representative in Switzerland is ARM Swiss Representatives SA, Route de Cité-Ouest 2, 1196 Gland, Switzerland. The paying agent in Switzerland is Banque Heritage, 61, route de Chêne, Case Postale 6600, CH-1211 Geneve 6, Switzerland. The Prospectus, the Articles of Association and annual financial statements can be obtained free of charge from the representative in Switzerland. The place of performance and jurisdiction is the registered office of the representative in Switzerland with regards to the Shares distributed in and from Switzerland. We believe the information on this website is based on reliable sources, but its accuracy cannot be guaranteed. The opinions expressed represent our views at the time of publication and are subject to change. Neither Privium nor Horatius Capital Limited will be liable for any losses relating to the accuracy, completeness or use of information on this website, including any consequential loss. Past performance does not predict future results and the capital value of investments and the income generated can fluctuate. Where investments are exposed to currencies other than the base currency of the managed account, they may be subject to foreign exchange rate fluctuations.

The registered office of Privium is The Shard, 24th Floor, 32 London Bridge Street, London, SE1 9SG.

Copyright©2019, Privium Fund Management (UK) Limited. All rights reserved.

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Privacy Notice

Horatius Capital Limited is incorporated in England and Wales and its registered office is 22 Chancery Lane, London, WC2A 1LS, United Kingdom and its company number is 10436077. Horatius Capital limited is an Appointed Representative of Privium Fund Management (UK) Limited which is Authorised and Regulated by the Financial Conduct Authority.

References to “Horatius”, “we”, “us” and “our” are references to Horatius Capital Limited.

About this privacy notice

We are a data controller in respect of your personal data for the purposes of data protection law, such as the European Union’s General Data Protection Regulation. We are responsible for ensuring that we use your personal data in compliance with data protection law.

This privacy notice applies to you if (i) you are a client or prospective client of Horatius (including an investor or prospective investor in a vehicle or entity that we manage or advise (“Horatius Funds”)), a service provider to us or to a Horatius Fund, (ii) your personal data has been provided to us in connection with any of the foregoing by another person (such as where you are a director, partner, trustee, employee, agent or direct or indirect owner of such person); or (iii) you otherwise enter into communications with us by email or other means.

This privacy notice sets out the basis on which personal data about you that you provide to us, that we create about you or that we obtain about you from other sources, will be processed by us. Please take the time to read and understand this privacy notice.

Personal data that we might use

We might process the following personal data about you:

  1. a. Information provided to Horatius or to a Horatius Fund or its administrator by you or (if different) the applicant for interests in a Horatius Fund: This might include your name and address (including proofs of name and address), contact details, date of birth, gender, nationality, photograph, signature, copies of identity documents, occupational history, job title, income, assets, other financial information, bank details, investment history, tax residency and tax identification information. Such information might be provided in an application form or in other documents (as part of an application process or at other times), face-to-face, by telephone, by email or otherwise.
  2. b. Information that Horatius collects or generates: This might include information relating to your (or an applicant’s) investment in a Horatius Fund, emails (and related data), call recordings and website usage data.
  3. c. Information that Horatius obtains from other sources: This might include information obtained for the purpose of our know-your-client procedures (which include anti-money laundering procedures, counter-terrorist financing procedures, politically-exposed-person checks, sanctions checks, among other things), information from government or public bodies, public websites and other public sources and information received from the applicant’s advisers or from intermediaries.

Uses of your personal data

We collect your personal information to fulfil our contractual obligations, our statutory and regulatory obligations and/or the legitimate business interests of Horatius or a Horatius Fund and for other purposes for which Horatius has a lawful basis under the privacy laws, including:

  1. a. Compliance with legal and regulatory obligations and industry standards, including know-your-client procedures, the automatic exchange of tax information and legal judgments.
  2. b. General business administration, including communicating with investors, communicating with service providers and counterparties, accountancy and audit services, risk monitoring, the administration of IT systems and monitoring and improving products.
  3. c. Assessing and processing applications for interests in a Horatius Fund and other dealings with Horatius, including performing know-your-client procedures, issuing and redeeming interests, receiving payments from and making payments to the applicant, calculating net asset value, and overseeing these processes.
  4. d. Business activities, such as investor relations, discussions with our, or a Horatius Fund’s, service providers and counterparties, decision-making in relation to the Horatius Funds, and business strategy, development and marketing.

We are entitled to process your personal data in these ways for the following reasons:

  1. a. You may enter into an investment contract with Horatius or a Horatius Fund and some processing will be necessary for the performance of that contract, or will be done at your request prior to entering into that contract.
  2. b. Processing may be necessary to discharge a relevant legal or regulatory obligation.
  3. c. The processing is necessary for the legitimate business interests of Horatius or a Horatius Fund or its administrator or another person, such as: i. carrying out the ordinary or reasonable business activities of Horatius, a Horatius Fund or its administrator or other persons, or other activities previously disclosed to you or referred to in this privacy notice;
  4. ii. ensuring compliance with all legal and regulatory obligations and industry standards, and preventing fraud;
  5. iii. establishing, exercising or defending legal rights or for other purposes relating to legal proceedings; and
  6. iv. ensuring the security of information systems.
  7.  
  8. d. In respect of any processing of sensitive personal data falling within special categories, such as any personal data relating to the political opinions of a politically exposed person, the processing will be necessary for reasons of substantial public interest.

Disclosure of your personal data to third parties

We may from time to time, in accordance with the purposes described above, disclose your personal data to other parties, including (a) our affiliates, (b) a Horatius Fund’s administrator and its affiliates, (c) professional advisers such as law firms and accountancy firms, (d) other service providers of Horatius or a Horatius Fund or its administrator, including technology service providers, (e) counterparties and (f) courts and regulatory, tax and governmental authorities. Some of these persons will process your personal data in accordance with our instructions and others will themselves be responsible for their use of your personal data. These persons may be permitted to further disclose the personal data to other parties.

Transfers of your personal data outside the European Economic Area

Your personal data may be transferred to and stored by persons outside the European Economic Area (the “EEA”) such as a Horatius Fund, and in particular may be transferred to and stored by affiliates or service providers of the Horatius Funds or their administrators outside the EEA.

Where personal data is transferred outside the EEA, we will ensure that the transfer is subject to appropriate safeguards or is otherwise permitted under applicable law. For example, the country to

which the personal data is transferred may be approved by the European Commission, the recipient may have agreed to model contractual clauses approved by the European Commission that oblige them to protect the personal data, or the recipient may be located in the United States and be a certified member of the EU-US Privacy Shield scheme.

You can obtain more details of the protection given to your personal data when it is transferred outside the EEA, including a copy of any standard data protection clauses entered into with recipients of your personal data, by contacting us using the details set out under “Contacting us” below.

Necessity of personal data for us to provide services to you or an investment in a Horatius Fund

The provision of certain personal data is necessary for us to provide services to you or for interests in a Horatius Fund to be issued to any applicant and for compliance by Horatius and the Horatius Funds and our and their respective service providers with certain legal and regulatory obligations. Accordingly, if certain personal data is not provided when requested, we may not be able to provide services to you and/or an application for interests might not be accepted or interests might be compulsorily redeemed.

Retention of personal data

How long we hold your personal data for will vary. The retention period will be determined by various criteria, including the purposes for which we are using it (as it will need to be kept for as long as is necessary for any of those purposes) and legal obligations (as laws or regulations may set a minimum period for which we have to keep your personal data).

Your rights

You have a number of legal rights in relation to the personal data that we hold about you. These rights include the following:

  1. a. The right to obtain information regarding the processing of your personal data and to access to the personal data that we hold about you.
  2. b. In some circumstances, the right to receive some personal data in a structured, commonly used and machine-readable format and the right to request that we transmit that data to a third party where this is technically feasible. Please note that this right only applies to personal data which you have provided to us.
  3. c. The right to request that we rectify your personal data if it is inaccurate or incomplete.
  4. d. The right to request that we erase your personal data in certain circumstances. Please note that there may be circumstances where you ask us to erase your personal data but we are legally entitled to retain it.
  5. e. The right to object to, and the right to request that we restrict, our processing of your personal data in certain circumstances. Again, there may be circumstances where you object to, or ask us to restrict, its processing of your personal data but we are legally entitled to continue processing your personal data or to refuse that request.
  6. f. The right to lodge a complaint with the data protection regulator (details of which are provided below) if you think that any of your rights have been infringed by us.

You can exercise your rights by contacting us using the details set out under “Contacting us” below. You can find out more information about your rights by contacting an EU data regulator such as the UK’s Information Commissioner’s Office, or by searching its website at ico.org.uk.

Contacting us

If you would like further information on the collection, use, disclosure, transfer or processing of your personal data or the exercise of any of the rights listed above, please address questions and requests to Horatius Capital Limited on info@horatius.co.uk or in writing to:

Horatius Capital Limited
53 Davies Street
London W1K 5JH

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