Kohlberg & Co., L.L.C.
WEBSITE PRIVACY NOTICE
Last modified: June 8, 2023
This Privacy Notice provides information about the privacy practices of Kohlberg & Co., L.L.C. (“Kohlberg” or “we”) described herein, including information that may be required by applicable privacy laws such as the California Consumer Privacy Act. This Privacy Notice only applies to information Kohlberg collects from visitors to kohlberg.com (the “Site”) or as otherwise specifically described below. It does not apply to other sites or our investor portal.
Current, prospective, and former natural person investors enjoy certain protections under the Gramm-Leach-Bliley Act (“GLBA”), and such protections are addressed in our investor privacy notice, which you will receive as part of our subscription documents. In the event of any conflict with the terms of our investor privacy notice, the terms of the investor notice will apply.
As used in this Website Privacy Notice, “personal information” 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.
Information We Collect
This Site does not directly collect any personal information. You may, however, choose to contact us by email using the Contact Us feature, in which case we will collect your name, email address, phone number, and any other information that you choose to provide to us. Please do not provide personal information that you do not want us to have.
In addition, we may gather information about you automatically through your use of the Site, e.g., your IP address and how you navigate our Site (“Automatically Collected Information”). We may collect Automatically Collected Information about you by using cookies, tracking pixels and other technologies (collectively, “Tools”). We may use this information to better understand, customize and improve the user experience of our websites, services and offerings. For example, we may use web analytics services such as Google Analytics that leverage Tools to help us understand how visitors engage with and navigate our Site. Information on how Google Analytics collects and processes your data is available here: www.google.com/policies/privacy/partners/.
Your web browser can be set to allow you to control whether you will accept cookies, reject cookies, or to notify you each time a cookie is sent to you. If your browser is set to reject cookies, the Site may not recognize you when you return to the website, and some website functionality may be lost. The Help section of your browser may tell you how to prevent your browser from accepting cookies. To find out more about cookies, including how to see what cookies have been set and how to manage or delete them, visit www.allaboutcookies.org.
How We Use the Information We Collect
Personal Information We Collect on the Site
This Site does not directly collect any personal information. You may, however, choose to contact us by email using the Contact Us feature, in which case we will collect your name, email address, phone number and other identifiers, and any other information that you choose to provide to us. Please do not provide personal information that you do not want us to have. In addition, we may gather internet and other network activity information about you automatically through your use of the Site, e.g., your IP address and how you navigate our Site (“Automatically Collected Information”).
Information We Collect from Business Contacts
In the course of our ordinary operations, we may collect information about employees of business contacts, such as our service providers and others. This information typically includes identifiers such as name, email and postal address and telephone number, along with professional or employment information. We typically receive this information directly from you or from your employer.
Information We Collect From Individuals Associated With Institutional Investors
We may receive personal information about individuals associated with our institutional investors, such as their employees, account holders, or beneficiaries, for a number of purposes, including to provide our investment services and conduct Know Your Customer (“KYC”) diligence. We typically receive this information directly from our institutional investor, who may be your employer, but may also receive this information from other publicly available sources or third parties. The information typically includes identifiers such as name, email or postal address, and telephone number, along with professional and employment information.
Information We Collect From Portfolio Companies
In connection with the provision of management and advisory services or otherwise for the purposes of our legitimate business interests, we may collect personal information about directors, executives and other employees of the companies that we manage and/or in which we (or any funds that we directly or indirectly manage or advise) invest or are considering investing (“Portfolio Companies”). The personal information we collect about such individuals may include identifiers and other work contact details (including telephone numbers and email addresses), and professional or employment information.
Sensitive Personal Information
In some situations, we may collect personal information that is also considered “sensitive personal information” under applicable privacy laws. As described above, the information we collect will depend on our relationship with you. For example, we may in some circumstances collect information regarding race or ethnicity from employees or directors of our Portfolio Companies for purposes of equal opportunity measurement. We use sensitive personal information only for limited, lawful purposes in compliance with applicable privacy laws and do not use sensitive personal information collected to infer characteristics about you. We may use some information about individuals associated with individual investors for KYC purposes.
Cookies and Similar Technologies
We may collect Automatically Collected Information about you by using cookies, tracking pixels and other technologies (collectively, “Tools”). We may use this information to better understand, customize and improve the user experience of our websites, services and offerings. For example, we may use web analytics services such as Google Analytics that leverage Tools to help us understand how visitors engage with and navigate our Site. Information on how Google Analytics collects and processes your data is available here: www.google.com/policies/privacy/partners/.
Your web browser can be set to allow you to control whether you will accept cookies, reject cookies, or to notify you each time a cookie is sent to you. If your browser is set to reject cookies, the Site may not recognize you when you return to the website, and some website functionality may be lost. The Help section of your browser may tell you how to prevent your browser from accepting cookies. To find out more about cookies, including how to see what cookies have been set and how to manage or delete them, visit www.allaboutcookies.org.
Do Not Track
Do Not Track (“DNT”) is a privacy preference that users can set in their web browsers. When a user turns on DNT, the browser sends a message to websites requesting that they do not track the user. We do not change our practices, described elsewhere in this privacy notice, in response to DNT browser settings or signals. For information about DNT, visit www.allaboutdnt.org. While we continue to monitor developments with respect to Global Privacy Control (“GPC”), we do not currently recognize GPC and other browser initiated opt-out preference signals as we do not sell personal information or share personal information for cross-context behavioral advertising.
How We Use the Information We Collect
Where you provide information to us, for example by email, the information is used for the purpose you provided it to us. For example, if you provide your contact information in an inquiry to us, we will use your contact information to process and respond to that inquiry and any related activity that may result from your inquiry.
We may use Automatically Collected Information to better understand how our visitors use the Site, analyze their demographics, interests, and behavior, to improve the content of the Site and further develop our businesses and services.
We may process your personal information for other business purposes, including the following:
- Where necessary for the purposes of our legitimate business interests, including to operate and facilitate our business and services; provide management and advisory services to our Portfolio Companies; conduct research and due diligence into potential investment targets; prepare reports on investment targets; review, monitor and manage our investment portfolio; communicate with you; undertake business management, planning, statistical analysis, market research and marketing activities; as part of a corporate business transaction, such as a merger, acquisition, joint venture, or financing or sale of company assets; administer and maintain our records; protect our rights, property and interests; ensure the security of our assets, systems and networks; prevent, detect and investigate fraud, unlawful or criminal activities in relation to our services; and enforce our terms and conditions;
- Where required by applicable laws and regulations, including laws relating to know-your-client requirements, tax, the prevention of money laundering, fraud, terrorist financing and sanctions, and to comply with valid legal process, including a search warrant, subpoena or court order; and
- Where the processing is necessary for the establishment, exercise or defense of legal claims.
In some circumstances, we may also process your personal information where we have received your consent. For example, depending where you are located, in order to send you marketing materials or to place cookies or similar tracking technologies on your devices. Where processing is based on your consent, you have the right to withdraw that consent at any time.
How We Disclose the Information We Collect
We may disclose your personal information to our affiliates for the purposes described in this Privacy Notice. We may disclose personal information to service providers that perform services on our behalf such as analytics providers and hosting providers and the provider of our investor portal. We encourage you to review the privacy policy of any service provider you interact with.
In addition, we may disclose personal information about you (a) if we are required or permitted to do so by law or legal process, for example due to a court order or a request from a law enforcement agency, (b) when we believe disclosure is necessary or appropriate to prevent physical harm or financial loss, (c) in connection with an investigation of suspected or actual fraudulent or other illegal activity, (d) in the event that we sell all or part of our business or makes a sale or transfer of assets or are otherwise involved in a merger, restructuring or business transfer, and (e) in conjunction with (i) the making, management, or disposition of any of our investments, or (ii) business continuity.
We do not sell your personal information or share it for purposes of cross-contextual behavioral advertising and have not done so within the past 12 months.
Retention of Personal Information
We retain personal information for the time necessary to achieve the purposes outlined in this Privacy Notice, taking into account statute of limitation periods and records retention requirements under applicable law.
Links to Third-Party Websites and Investor Portal
This Privacy Notice does not apply to other websites that may be linked to on the Site or to our investor portal. Should you choose to visit those websites or applications, you should review their privacy policies to ensure that you are comfortable with them.
Rights of California Consumers
Individuals in certain jurisdictions including California may have rights with respect to their personal information, subject to exception and limitations (collectively, the “Consumer Rights”). These rights may include:
- The right to know information we collect about you, including the categories of personal information, the categories of sources from which the personal information is collected, the business or commercial purpose for collecting, selling, or sharing personal information, the categories of third parties to whom we disclose personal information, and the specific pieces of personal information we collect about you;
- The right to delete personal information that we collect from you;
- The right to correct inaccurate personal information that we may maintain about you;
- The right to opt-out of the sale or sharing of personal information; and
- The right to limit certain uses of sensitive personal information; and
We will not discriminate against you for exercising any of Consumer Rights, for example, by charging a different price or denying goods or services.
If you wish to exercise any of the Consumer Rights, please email [email protected]. We will review your requests and respond accordingly. The Consumer Rights described herein are not absolute and we reserve all of our rights available to us at law in this regard. Additionally, if we retain your personal information only in de-identified form, we will not attempt to re-identify your data in response to a Consumer Rights request.
If you make a Consumer Rights, we may need to verify your identity. To do so, we will request that you match specific pieces of information you have provided us previously. If it is necessary to collect additional information from you, we will use the information only for verification purposes and will delete it as soon as practicable after complying the request. If we are unable to verify your identity, we may need to deny your request.
If you make a Consumer Rights request through an authorized agent, we will require written proof that the agent is authorized to act on your behalf. In addition, we will ask you to either (1) verify your identity directly with us in the manner described above or (2) directly confirm with us that you have provided the agent permission to make the request on your behalf.
How to Contact Us About Privacy Matters
If you would like to contact us for any reason concerning our privacy practices, please email us at [email protected].
Updates to This Privacy Notice
We may change or update portions of this Privacy Notice at any time without notice to you. Please check back from time to time so you are aware of any changes or updates to the Privacy Notice. The revision date appearing on the first page of this Privacy Notice underneath the title will identify the date of the last update or revision.
Last modified: June 8, 2023
Disclosures required under Article 3 of Regulation (EU) 2019/2088 on sustainability-related disclosures in the financial services sector dated 27 November 2019 (“SFDR”)
TRANSPARENCY OF SUSTAINABILITY RISK POLICIES (Article 3, SFDR)
Sustainability Risks are integrated into investment decision-making process solely to the extent that Kohlberg & Co., L.L.C. determines that they represent potential or actual financially material risks and/or opportunities to maximize the long- term risk-adjusted returns. Sustainability Risks form part of the overall investment analysis and the identified risks are assessed alongside other relevant considerations. Further information can be found at www.kohlberg.com/responsibility
NO CONSIDERATION OF ADVERSE IMPACTS OF INVESTMENT DECISIONS ON SUSTAINABILITY FACTORS (Article 4, SFDR)
Kohlberg & Co., L.L.C. does not consider adverse impacts of investment decisions on “sustainability factors” as specifically defined by the SFDR. It has elected not to do so at the present time as it considers its existing policies and procedures to be appropriate, proportional and tailored to the investment strategies of its funds. It will continue to monitor closely regulatory and market developments with respect to the SFDR and other applicable ESG-focused laws and regulations.