Overview

This Privacy Policy applies to the collection of personal information by or on behalf of Capella Holdco Pty Ltd (ACN 691 789 410), trading as 38sth, and our related bodies corporate (The Company, we, us, our).

At The Company, we seek to protect the personal information we collect, in accordance with Australian Privacy Principles (APPs) as contained in the Privacy Act 1988 (Cth) (the Privacy Act).

This Policy outlines how we collect, store, manage, use and disclose personal information. It also deals with how you can complain about a breach of the privacy laws, how you can access the personal information we hold about you and how to have that information corrected.

When conducting our operations, The Company and its related bodies corporate collect certain personal information.

What personal information does The Company collect?

“Personal information” has the meaning given to it in the Privacy Act and is any information that can identify you or that can reasonably enable your identity to be determined. At The Company we are committed to protecting your privacy.

The personal information The Company collects (including sensitive information) will vary depending on our dealings with our stakeholders, including investors, prospective employees, third parties and other individuals who contact us and the particular purpose that is being fulfilled through the collection of such personal information.

The Company only collects personal information that is reasonably necessary for, or directly related to, The Company’s functions or activities, or where required by law.

The types of personal information collected by The Company may include but is not limited to:

• your name, date of birth, address, email address or other similar contact details;

• documents to confirm your identity including passport, driver’s licence, tax file number and other government issued documents;

• information regarding your finances and financial status or employment history;

• gender, marital status, solvency records and criminal history; and

Personal information about third parties connected to you, including any person acting on your behalf, such as agents or attorneys appointed under a power of attorney, family members or other beneficial owners of your investment (for example, beneficiaries of investment vehicles such as a family trust), and details of your legal personal representative if required to manage your assets in the event of your death.

The Company may also be required or authorised by law to collect certain sensitive personal information from you and/or disclose your personal information. For example, we may be required to collect and disclose certain information to comply with the identification and verification requirements imposed under the Anti-Money Laundering and Counter Terrorism Financing Act 2006 (Cth). For certain investors, The Company may also be required to collect and disclose certain personal information to the Australian Taxation Office to comply with the Foreign Account Tax Compliance Act or the Foreign Investment Review Board.

How does The Company collect personal information?

Personal information may be collected in several different ways including but not limited to:

• you call, write or email us;

• you provide us with your personal information, such as your contact details, business card, curriculum vitae or other documents containing your personal information;

• you apply to invest in one of our funds;

• you meet with us in person; or

• you contact us via our website’s contact form.

The Company may also collect personal information from publicly available sources or from third parties that we deal with, such as:

• the companies we invest in;

• other representatives;

• recruitment agencies;

• referees nominated by prospective employees;

• your or our authorised agents or professional advisors (such as lawyers, insurers, auditors or financial advisors); and

• other entities, as consented by you.

Where we collect personal information from third parties you refer to us to, we will assume, and you will ensure, that you have made that third party aware of the referral and the purposes of collection, use and disclosure of the relevant personal information.

What does The Company collect, store, use and disclose your personal information for?

We collect, use, sore and disclose your personal information to:

• Process and administer your application for investment in any of The Company’s funds or managed investment schemes;

• Manage and administer any investment you make in The Company’s funds or managed investment schemes and perform our duties;

• Fulfil our legal obligations, including those relating to taxation, anti-money laundering, and counter-terrorism financing;

• Maintain your contact details and communicate with you, including responding to enquiries or investigating complaints;

• Notify you about important changes or developments to our functions, activities, or services;

• Provide you with promotional information and event invitations, subject to legal obligations and your ability to opt out;

• Assess job applications and manage prospective employment relationships; and

• Carry out any other activities related to your investments or requests.

If you do not provide the requested personal information, or if the information you provide is incomplete or inaccurate, The Company may be unable to accept or process your application to invest in its funds or managed investment schemes. This may also limit the services The Company can provide in administering any investment you make now or in the future and may prevent us from properly responding to your queries or requests for information.

Direct Marketing

We may from time to time use your personal information to inform you of investment opportunities or to provide information about products and services which we expect may be of interest to you. We will always give you the option of electing not to receive these communications and you can unsubscribe at any time by notifying us that you wish to do so.

Disclosure of your personal information

We may share personal information within The Company, and may disclose personal information outside The Company:

• as required by law or regulations, such as those relating to anti-money laundering and counter-terrorism financing or as required by a regulator;

• to our service providers, who provide services in connection with our products and services (including but not limited to archival, auditing, accounting, customer contact, legal, business consulting, banking, payment, data processing, data analysis, information broking, mailing, marketing, research, investigation, insurance, identity, verification, maintenance, trustee, securitisation, website and technology services); and

• as contained in the terms and conditions of our product or service.

We may also disclose your personal information (on a confidential basis) in connection with the undertaking of our principal investment activities including but not limited to the management of any parts of our business or assets. However, we will take all reasonable steps to ensure that they protect your information in the same way that we do.

Transfer of personal information outside of Australia

In some circumstances the parties to whom we disclose personal information may operate outside of Australia including locations in Europe, North America, Asia, and New Zealand but may include other locations in future. Circumstances in which we will do this include where:

• you have asked us to or we have your consent to do so;

• we have outsourced a business activity or function to an overseas service provider;

• we reasonably believe that the overseas recipient is subject to a law or binding scheme that protects the information in a way that is substantially similar to the way the information is protected under the Privacy Act and the Australian Privacy Principles, and there are mechanisms you can access to take action to enforce that protection; or

• the disclosure is required or authorised by or under an Australian law or a court/tribunal order.

When we disclose your personal information overseas, we will take reasonable measures to ensure that your information is held, managed and accessed in accordance with the standards that apply in Australia, including the Australian Privacy Principles.

How do we protect your personal information?

We take reasonable steps to protect the personal information we hold from loss, interference, destruction, unauthorised access, modification or disclosure using both physical and electronic security measures including:

• robust security of our physical premises and records;

• technological measures such as firewalls, data encryption, spam filters, anti‐virus software including monitoring of files, programs and processes that run on company managed devices to prevent malicious code;

• User controls and password protection for accessing electronic systems to restrict access to your information to people within our organisation who require it for the purpose of providing our services;

• industry standard security protocols on our website which protect the personal information you disclose using our online facilities.

• Implementing multiple layers of security controls throughout our systems so that if one control fails, or a vulnerability is exploited, other measures remain in place;

• Conducting regular training to ensure people have the knowledge and skills to protect your personal information from unauthorised access or misuse.

If you provide us with your personal information over the internet you accept that such information will be transmitted at your own risk as the security of such information cannot be guaranteed.

You are responsible for keeping your account details, including username and password, confidential and secure.

In the unlikely event of a suspected data breach, we will assess the breach to determine whether it is likely to result in serious harm to any of the individuals to whom the information relates. In which case, we will notify the individual(s) at risk of serious harm and the Office of the Australian Information Commissioner as soon as practicable.

The security policies and systems we have in place protect your personal information, and are reviewed, monitored and updated on a regular basis.

How long do we keep your personal information?

We will only retain personal information for as long as we consider, in our reasonable opinion, to be necessary to comply with applicable law or for the relevant purposes (as set out in this policy).

When we no longer need your personal information, we will where reasonably possible seek to delete, destroy or de-identify it in accordance with our record retention policy and any applicable laws.

Checking, Updating or Changing the Information we hold.

We take reasonable steps to ensure that all information we hold is as accurate as possible.

You have the right to:

• Request access to your personal information; and

• Ask for correction if you believe the information is inaccurate or incomplete.

In normal circumstances, we will provide access to your personal information or make the requested corrections. However, there may be legal or administrative reasons why we cannot grant your request. If your request is denied, we will explain the reason where possible. If we do not make a correction and you disagree, you may ask us to add a note of your requested correction to your information.

Concerns and Complaints

If you have any concerns about whether we have complied with the Privacy Act or this Privacy Policy when collecting or handling your personal information, please contact the Privacy Officer in writing using the following details:

Address: Capella Holdco Pty Ltd, Level 43, 80 Collins Street, Melbourne, VIC 3000

Email: compliance@38sth.com

We will consider your complaint through our internal complaints resolution process and we will try to respond with a decision within 30 days of receiving such a complaint.

If you are not satisfied with our response you have the right to make a complaint to the Office of the Australian Information Commissioner (OAIC). You can contact the OAIC:

Online: www.oaic.gov.au

Email: enquiries@oaic.gov.au

Phone: 1300 363 992

Mail: GPO Box 5218 Sydney NSW  2001

Consent

By asking us to assist with your investment needs, you agree that we may collect and use your personal information for the purposes described above.