Important Disclosure Information

Last Updated: January 26, 2018

No Offer or Advice

You acknowledge that the content of this website “the site” is for general, informational purposes only and is not intended to constitute an offer to sell or buy any securities or other assets or promise to undertake or solicit business and may not be relied upon in connection with any offer or sale of securities or other assets. An offer or solicitation will be made only through a final private placement memorandum, subscription agreement and other related documents with respect to a particular investment opportunity and will be subject to the terms and conditions contained in such documents, including the qualifications necessary to become an investor. Quad-C Management, Inc. (“Quad-C,” “the Adviser,” or “we”) makes no representations that any information provided via the site is accurate, current or complete. You are solely responsible for evaluating the risks and merits regarding the use of the site and any services provided herein.

We are not utilizing the site to provide investment or other advice, and nothing on the site is to be deemed a recommendation that you buy, sell or hold any security or other investment or that you pursue any investment style or strategy. If you would like investment, accounting, tax or legal advice, you should consult with your own advisors with respect to your individual circumstances and needs.

Past Performance

The information contained on, or comments expressed on, the site may include certain prior indications of past investment performance. In considering such prior performance information, you should bear in mind that past performance is not indicative of future results, and no representation is being made that any investment will or is likely to achieve profits or losses similar to those achieved in the past, or that significant losses will be avoided.

Forward Looking Statements

The contents of the site may contain forward-looking statements that are based on management’s beliefs, assumptions, current expectations, estimates, and projections about the financial industry, the economy, or Quad-C’s investments. These statements are not guarantees of future performance and involve certain risks, uncertainties and assumptions that are difficult to predict with regard to timing, extent, likelihood and degree of occurrence. Therefore, actual results and outcomes may materially differ from what may be expressed or forecasted in such forward-looking statements. Furthermore, Quad-C undertakes no obligation to update, amend or clarify forward-looking statements, whether as a result of new information, future events or otherwise.

Site Contents

All content included on the site, such as text, images, graphics, logos, articles and other materials, is the property of Quad-C or others and is protected by applicable laws. All trademarks and logos displayed on the site are the property of their respective owners, who may or may not be affiliated with Adviser. Nothing contained on the site should be construed as granting, by implication, estoppel or otherwise, any license or right to use any content or trademark displayed on the site without the written permission of Adviser or such other third party that may own the content or trademark displayed on the site. Nothing in this disclaimer shall constitute a waiver of any trademark or other intellectual property rights concerning name, logo or trademark. Please be advised that Adviser may enforce its intellectual property rights to the fullest extent of the law.

Restrictions on Use

The information, materials and other content of the Site may not be copied, displayed, distributed, licensed, modified, published, reposted, reproduced, reused, sold, transmitted, used to create a derivative work or otherwise used for public or commercial purposes without the express written consent of Adviser.

No Warranty; Limitation of Liability

BY USING THE SITE, YOU ACKNOWLEDGE: (1) THAT YOUR USE OF THE SITE IS AT YOUR SOLE RISK; (2) THAT YOU ASSUME FULL RESPONSIBILITY FOR ALL COSTS ASSOCIATED WITH YOUR USE OF THE SITE; AND (3) THAT ADVISER SHALL NOT BE LIABLE FOR ANY DAMAGES, LOSSES OR LIABILITIES OF ANY KIND RELATED TO YOUR USE OF OR INABILITY TO USE THE SITE, INCLUDING WITHOUT LIMITATION, DIRECT, INDIRECT, INCIDENTAL, SPECIAL, PUNITIVE, COMPENSATORY OR CONSEQUENTIAL DAMAGES, LOST PROFITS AND/OR LOSS OF OR DAMAGE TO PROPERTY WHETHER THE ALLEGED LIABILITY IS BASED ON CONTRACT, TORT, NEGLIGENCE STRICT LIABILITY, OR ANY OTHER BASIS, EVEN IF ADVISER HAS BEEN ADVISED OF THE POSSIBILITY OF SUCH DAMAGES. IN NO EVENT SHALL ADVISER BE LIABLE FOR ANY DAMAGES, LOSSES OR LIABILITIES, IN CONNECTION WITH YOUR RELIANCE ON OR USE OR INABILITY TO USE THE INFORMATION, MATERIALS, PRODUCTS OR SERVICES ON THE SITE, OR IN CONNECTION WITH ANY FAILURE OF PERFORMANCE, ERROR, OMMISSION, INTERRUPTION, DEFECT OR DELAY IN OPERATION OR TRANSMISSION, COMPUTER VIRUS, LINE OR SYSTEM FAILURE OR OTHER COMPUTER MALFUNCION EVEN IF ADVISER IS ADVISED OF THE POSSIBILITY OF SUCH DAMAGES, LOSSES, OR EXPENSES. NEITHER ADVISER NOR ANY PARTY INVOLVED IN CREATING, PRODUCING OR DELIVERING THE SITE SHALL BE LIABLE FOR ANY DAMAGES, INCLUDING WITHOUT LIMITATION, DIRECT, INCIDENTAL, CONSEQUENTIAL, INDIRECT OR PUNITIVE DAMAGES ARISING OUT OF ACCESS TO, USE OF OR INABILITY TO USE THE SITE, OR ANY ERRORS OR OMISSION IN THE CONTENT THEREOF. THIS LIMITATION INCLUDES DAMAGES TO, OR FOR ANY VIRUSES THAT INFECT YOUR COMPUTER EQUIPMENT. ADVISER RESERVES THE RIGHT TO ALTER OR REMOVE THE CONTENT OF THE SITE OR SUSPEND OR TERMINATE YOUR USE IN ANY WAY, AT ANY TIME, FOR ANY REASON, WITHOUT PRIOR NOTIFICATION, AND WILL NOT BE LIABLE IN ANY WAY FOR POSSIBLE CONSEQUENCES OF SUCH CHANGES.

Select Portfolio Investments

The site includes a list of select Quad-C portfolio investments, which are provided as examples of Quad-C’s investment capabilities for the benefit of management teams or other parties interested in partnering with Quad-C. No assumptions should be made that these investments were or will be profitable. Past performance should not be relied upon as an indication of future results.

Source of Information

Certain information contained in the site may have been obtained from published and non­published sources, including from companies in which the Adviser funds may have invested. Such information may not have been, and in many cases, has not been, independently verified, and the Adviser does not assume responsibility for the accuracy of such information.

Modifications to Content

We may, at our discretion, modify or discontinue any of the content of this site, or any portion thereof, with or without notice.

Links from Other Websites

The site may contain links to, or may be linked from, other sites that are not maintained by us and to which we have not provided permission. We do not endorse, have any responsibility for, or make any representations about, any other sites, including their products and services, content, communications and website use policies. Adviser has neither reviewed the contents of these third-party websites nor does Adviser claim any responsibility for the content or suitability of these third-party websites and Adviser makes no express or implied warranty about the accuracy, copyright compliance, legality, merchantability or any other aspect of the content of such links. The use of third party websites is entirely at your own risk. We expressly disclaim any responsibility for your access to or use of such other sites. By accessing these links, you acknowledge that such other sites or locations are not under the control of Adviser and you agree that Adviser shall not be responsible for any information or additional links found at such site or location, or for your use of such information.

Governing Law; Dispute Resolution

You agree that your use of this site and any disputes relating to any of them shall be governed in all respects by the laws of the Commonwealth of Virginia, without giving effect to its conflict of laws principles. The failure of Adviser to act with respect to a breach of these Terms by you or others does not constitute a waiver and will not limit Adviser’s rights with respect to such breach or any subsequent breaches.

Law Applicable Based on User Location

We control and operate the site from our offices in the United States of America and any access or use of the site by you will be deemed to be at our offices in the United States. We do not represent that the site is appropriate or available for use in other locations. Persons who choose to access the site from locations outside of the United States of America do so on their own initiative, and are responsible for compliance with local laws, if and to the extent local laws are applicable.

Severability

If any provision of these terms shall be deemed unlawful, void or for any reason unenforceable, then that provision shall be deemed severable from these terms and shall not affect the validity and enforceability of any remaining provisions. The preceding terms and conditions represent the entire agreement between Adviser, on the one hand, and you, on the other, relating to the subject matter hereof.

 

Privacy Policy

Federal regulations require certain financial institutions, including registered investment advisers, to provide notice to its customers about their privacy policies, establish conditions under which they may disclose non-public personal information about consumers to unaffiliated third parties and restrict their ability to use consumer information received from affiliates for marketing. Quad-C is committed to (i) safekeeping personal information collected from potential, current and former investors and (ii) safeguarding against the unauthorized acquisition or use of unencrypted data or encrypted electronic data regarding each investor.

To this end, we implement, maintain, review and revise, as necessary, a comprehensive information security program. The primary objectives are to identify and assess any and all reasonably foreseeable internal and external risks to the security, confidentiality and integrity of any electronic, paper or other records containing personal information, and to evaluate and improve, where necessary, the effectiveness of current safeguards for limiting such risks.

To this end, Quad-C:

  • holds ongoing employee training,
  • sets policies for employees relating to the storage, access and
  • transportation of investor records and personal information,
  • reviews the scope of security measures at least annually,
  • reasonably monitors its information systems, including for unauthorized use or access, and
  • reasonably reviews and tests electronic encryption and other elements of its computer security system (including its secure user authentication protocols, secure access control measures and system security agent software).

The CCO reviews all contractual relationships with third party service providers engaged by Quad-C to ensure adequate protections are in place with respect to the safeguarding of personal information.

Quad-C collects and keeps only such information that is necessary for it to provide the services requested by its investors and to administer its investors’ business with Quad-C. For instance, Quad-C may collect nonpublic personal information (such as name, address, social security number, source of funds) from investors when they complete a subscription or other form. Quad-C may also collect nonpublic personal information from investors or potential investors as a result of transactions with Quad-C, its affiliates, its investors or others.

Quad-C only shares the nonpublic personal information of its investors with unaffiliated entities or individuals (i) as permitted by law and as required to provide services to Quad-C’s investors, such as with representatives within our firm, securities clearing firms, insurance companies and other services providers of Quad-C, or (ii) to comply with legal or regulatory requirements.

Companies hired to provide support services to Quad-C are not allowed to use personal information for their own purposes and are contractually obligated to maintain strict confidentiality. When Quad-C provides personal information to service providers, it requires these providers to agree to safeguard such information, to use the information only for the intended purpose and to abide by applicable law.

Quad-C does not (x) provide personally identifiable information to mailing list vendors or solicitors for any purpose or (y) sell information relating to its investors to any outside third parties.

Only employees with a valid business reason have access to investors’ personal information. These employees are educated on the importance of maintaining the confidentiality and security of such information and are required to abide by Quad-C’s information handling practices. Quad-C employs reasonable procedures to prevent terminated employees from accessing records containing personal information.

Quad-C maintains security standards to protect investors’ information, whether written, spoken, or electronic. To that end, Quad-C restricts access to nonpublic personal information to personnel who need to know such information in order to provide services to investors.
Quad-C also maintains reasonable restrictions upon physical access to records containing personal information and stores such records in secure facilities.

Should an investor send Quad-C a question or comment via e-mail, Quad-C will share the investor’s correspondence only with those employees or agents most capable of addressing the investor’s question or concern. All written communications pertaining to such question or comment will be retained by Quad-C until such time as Quad-C believes (in its good faith judgment) that it has provided the investor with a complete and satisfactory response. After that time, Quad-C will archive it according to the requirements of applicable securities laws.

Please note that, unless expressly advised otherwise, Quad-C’s e-mail facilities do not provide a means for completely secure and private communications. Although every attempt will be made to keep investor information confidential, from a technical standpoint, there is still a risk. For that reason, investors should be advised not to use e-mail to communicate information to Quad-C that is considered to be confidential. Investors should also be advised that, if they wish, communications with Quad-C may be conducted via telephone, facsimile or secure email and that additional security is available to investors if they equip their Internet browser with 128-bit “secure socket layer” encryption, which provides more secure transmissions.

Quad-C recognizes and respects the privacy concerns of its potential, current and former investors. Quad-C is committed to safeguarding this information. As a member of the financial services industry, Quad-C provides this Privacy Policy for informational purposes to investors and employees and will distribute and update it as required by law. The Privacy Policy is also available upon request.

Quad-C imposes reasonable disciplinary measures, which may include termination, for violations of its Privacy Policy.