PRIVACY NOTICE

This Privacy Notice (including the supplemental GDPR Privacy Notice (below), where applicable) relates to all Brigade controlled, affiliated or managed entities listed in Annex I hereto (together referred to herein as “us”, “we”, “our” or “Brigade”).

Financial companies choose how they share your personal information. Federal law gives our clients 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.

We do not disclose nonpublic personal information about our clients or former clients to third parties other than as described below.

Personal information we collect. We collect personal information about you in connection with our providing advisory services to you. This information includes your social security number and may include other information such as your:

  • Assets.
  • Investment experience.
  • Transaction history.
  • Income.
  • Wire transfer instructions.

How we collect this information. We collect this information from you through various means. For example, when you give us your contact information, enter into an investment advisory contract with us, buy securities (i.e., interests in a fund) from us, tell us where to send money, or make a wire transfer. We also may collect your personal information from other sources, such as our affiliates1 or other non-affiliated companies.

How we use this information. All financial companies need to share customers’ personal information to run their everyday business and we use the personal information we collect from you for our everyday business purposes. These purposes may include, for example:

  • To provide advisory services to you.
  • To open an account for you.
  • To process a transaction for your account.
  • To market products and services to you.
  • To respond to court orders, regulatory inquiries and legal investigations.

Disclosure to others. We may provide your personal information to our affiliates and to firms that assist us in servicing your account and have a need for such information, such as a broker or fund administrator. We may also disclose such information to service providers and financial institutions with whom we have joint marketing arrangements (i.e., a formal agreement between nonaffiliated financial companies that together market financial products or services to you, such as placement agents). We require third-party service providers and financial institutions with which we have joint marketing arrangements to protect the confidentiality of your information and to use the information only for the purposes for which we disclose the information to them. These sharing practices are consistent with Federal privacy and related laws, and in general, you may not limit our use of your personal information for these purposes under such laws. We note that the Federal privacy laws only give you the right to limit the certain types of information sharing that we do not engage in (e.g., sharing with our affiliates certain information relating to your transaction history or creditworthiness for their use in marketing to you, or sharing any personal information with nonaffiliates for them to market to you).

How we protect your personal information. To protect your personal information from unauthorized access and use, we use security measures that comply with Federal law. These measures include computer safeguards and secured files and buildings.

GDPR Privacy Notice (applicable to EU data subjects only)

This supplemental GDPR Privacy Notice explains how Brigade, collects, uses, shares and otherwise processes your Personal Data (defined below) in connection with your relationship with us as a Brigade client, an investor (or prospective investor) in a Brigade fund/account, acting for an investor (or prospective investor) in a Brigade fund/account or a person being generally interested in Brigade and our services in accordance with applicable data privacy laws and the General Data Protection Regulation (“GDPR”), which will become applicable as of 25 May 2018.

This GDPR Privacy Notice is issued on behalf of all Brigade entities listed in Annex I, provided that to the extent a Brigade entity is a data controller in respect of your Personal Data, other Brigade entities may not be a data controller or data processor or may not have access to your Personal Data.

The term “Personal Data” as used in this GDPR Privacy Notice means any information relating to you such as your name, contact details, bank account details etc. Personal Data does not include data from which you can no longer be identified such as anonymized aggregate data.

Personal Data. We may collect the following Personal Data about you:

  • Information that you provide to us such as your contact details (e.g. name, address, email address and telephone number) and information such as your job title. In addition, we collect such additional Personal Data that you choose to provide to us e.g., if you contact us by letter, telephone, email or any other means of electronic or personal communication; and
  • Information we collect or generate about you, including during the course of our relationship with you, such as CRM information, data relating to website/client portal usage, call recordings, financial information, etc.

Uses of your Personal Data. We are entitled to use your Personal Data to the extent applicable law provides a lawful basis for us to do so. We will therefore process your Personal Data to the extent that:

  • you have consented to us doing so;
  • we need it to perform the contract we have entered into with you;
  • we need it to comply with a legal obligation;
  • we (or a third party) have a legitimate interest which is not overridden by your interests or fundamental rights and freedoms, such as to provide investment management and/or advisory services to you and/or the institution you work or act for; to inform you about our services and to carry out legal, administrative, operational and/or compliance processes within Brigade; or
  • we may need to it in order to establish, exercise or defend our legal rights or for the purpose of legal proceedings.

Sharing and transfer out of the EEA. When using your Personal Data for the purposes and on the legal basis described above, we may share your Personal Data with other Brigade entities, as well as to professional advisers and service providers we work with. We may also have to share your Personal Data with regulators, public institutions, courts or other third parties.

The Personal Data that we collect from you may be transferred to, and stored at, a destination outside the European Economic Area (“EEA”), including a Brigade entity or a third party. It may also be processed by personnel operating outside of the EEA. We will always ensure that there is a legal basis and a relevant safeguard method for such data transfer so that your Personal Data is treated in a manner that is consistent with, and respects the EU laws and other applicable laws and regulations on data protection. We have put in place EU standard contractual clauses as our safeguard method. You can obtain more details of the protection given to your Personal Data when it is transferred outside the EEA (including a copy of the standard data protection clauses which we have entered into with recipients of your Personal Data) by contacting us in accordance with the “Contacting us” section below.

Retention of Personal Data. How long we hold your Personal Data for will vary. The retention period will be determined by various criteria including: (i) the purpose for which we are using it – we will need to keep the data for as long as is necessary for that purpose; and (ii) our legal obligations – laws or regulation 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, which you can exercise in certain circumstances. These rights are to:

  • request access to your Personal Data (commonly known as a “data subject access request”) and request certain information in relation to its processing;
  • request rectification of your Personal Data;
  • request the erasure of your Personal Data;
  • request the restriction of processing of your Personal Data; and
  • object to the processing of your Personal Data.

You can exercise your rights by contacting us using the details set out in the “Contacting us” section below.

You also have the right to make a complaint at any time to the Information Commissioner’s Office (ICO), the UK supervisory authority for data protection issues, or, as the case may be, any other competent supervisory authority of an EU member state.

We may need to request specific information from you to help us confirm your identity and ensure your right to access Personal Data (or to exercise any of your other rights). This is another appropriate security measure to ensure that Personal Data is not disclosed to any person who has no right to receive it.

Right to withdraw consent. If you have provided your consent to the collection, processing and transfer of your Personal Data, you have the right to fully or partly withdraw your consent. To withdraw your consent, please contact us using the details set out in the “Contacting us” section below. Upon receiving notification that you have withdrawn your consent, we will no longer process your information for the purpose(s) to which you originally consented unless there are legitimate grounds for further processing which override your interests, rights and freedoms or for the establishment, exercise or defence of legal claims. If we processed your Personal Data for direct marketing purposes, you may object at any time, in which case we will no longer process your Personal Data for such marketing purposes.

Changes to this Privacy Notice. We reserve the right to update and/or supplement this Privacy Notice at any time, and we will make an updated copy of such Privacy Notice available on our website.

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, comments and requests to privacy@brigadecapital.com or call Aaron Daniels, our General Counsel and Chief Compliance Officer, at +001 212 745-9700.

1 Our affiliates are companies related to us by common ownership or control and can include both financial and nonfinancial companies. Non-affiliates are companies not related to us by common ownership or control and can include both financial and nonfinancial companies.

ANNEX I

Brigade Capital Management, LP Armada Euro CLO I DAC
Brigade Capital Management GP, LLP Armada Euro CLO II DAC
Brigade Capital GP, LLC Brigade Opportunistic Credit LBG Fund Ltd.
Brigade Capital UK LLP SC Credit Opportunities Mandate, LLC
Brigade Capital (UK) Company Ltd Brigade Structured Credit Fund LP
Brigade Capital Japan GK Brigade Structured Credit Fund Ltd.
Brigade Capital Australia Pty Ltd. Brigade Structured Credit Offshore Fund Ltd.
Brigade Capital Europe Management LLP Brigade EP Fund LP
Brigade Leveraged Capital Structures Fund LP Brigade Energy Opportunities Fund LP
Brigade Leveraged Capital Structures Offshore Ltd. Brigade Energy Opportunities Offshore Fund LP
Brigade Leveraged Capital Structures Fund Ltd. Brigade Energy Opportunities Fund II LP
Brigade Leveraged Capital Structures Institutional Offshore Ltd. Brigade Energy Opportunities Offshore Fund II LP
Brigade Credit Offshore Fund II Ltd. Brigade Opportunistic Credit Fund – ICIP, Ltd.
Brigade Credit Fund II LP Brigade Cavalry Fund Ltd.
Brigade Credit Fund II Ltd. Brigade Cavalry Fund LP
Brigade Credit Fund II Unit Trust Brigade Debt Funding I, Ltd.
Kitty Hawk Master Fund Ltd., Kitty Hawk Offshore Fund Ltd.
Kitty Hawk Master Fund II Ltd.
Kitty Hawk Offshore Fund II Ltd.
Kitty Hawk Onshore Fund LP
Brigade Distressed Value Master Fund Ltd.
Brigade Distressed Value Fund LP
Brigade Distressed Value Offshore Fund Ltd.
Tasman Fund LP
Tasman Fund Ltd.
Battalion CLO IV Ltd.
Battalion CLO IV LLC
Battalion CLO V Ltd.
Battalion CLO V, LLC
Battalion CLO VI Ltd.
Battalion CLO VI LLC
Battalion CLO VII Ltd.
Battalion CLO VII LLC
Battalion CLO VIII Ltd.
Battalion CLO VIII LLC
Battalion CLO IX Ltd.
Battalion CLO IX LLC
Battalion CLO X Ltd.
Battalion CLO X LLC
Battalion CLO XI Ltd.
Battalion CLO XII Ltd.
Battalion CLO XII LLC