FACTS

WHAT DOES CIFC DO WITH YOUR PERSONAL INFORMATION?

Why?

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

What?

The types of personal information we collect and share depend on the product or service you have with us. This information can include:

• Social Security number and income
• Account balances and transaction history
• Assets, income and investment experience
• Wire transfer instructions

How?

All financial companies need to share customers’ personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers’ personal information; the reasons CIFC chooses to shares; and whether you can limit this sharing.

Reasons we can share your personal information

Does CIFC share?

Can you limit this sharing?

For our everyday business purposes –
such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus

Yes

No

For our marketing purposes –
to offer our products and services to you

Yes

Yes

For joint marketing with other financial companies

Yes

Yes

For our affiliates’ everyday business purposes –
information about your transactions and experiences

Yes

No

For our affiliates’ everyday business purposes – information about your creditworthiness

No

We don’t share

For our affiliates to market to you

Yes

Yes

For nonaffiliates to market to you

Yes

No

To limit
our sharing

• Call (212) 724-1200 or email legal@cifc.comor
• Visit us online: www.cifc.com

Please note:

If you are a new customer, we can begin sharing your information thirty (30) days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice.

However, you can contact us at any time to limit our sharing.

Questions?

Call (212) 624-1200 or email legal@cifc.comor go to www.cifc.com

Who we are

Who is providing this notice?

CIFC Asset Management LLC and its affiliates

What we do

How does CIFC protect my 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.

How does CIFC collect my personal information?

We collect your personal information, for example, when you

• Open an account and/or provide account information
• Enter into an investment advisory contract
• Direct us to buy/sell securities
• Give us your contact information
• Make a wire transfer

We also collect your personal information from other companies.

Why can’t I limit all sharing?

Federal law gives you the right to limit only

• sharing for affiliates’ everyday business purposes—information about your creditworthiness
• affiliates from using your information to market to you
• sharing for nonaffiliates to market to you

State laws and individual companies may give you additional rights to limit sharing.

What happens when I limit sharing for an account I hold jointly with someone else?

Your choices will apply to everyone on your account.

Definitions

Affiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies, and includes persons or companies that directly or indirectly, controls or is controlled by, or is under common control with CIFC.

Nonaffiliates

Companies not related by common ownership or control. They can be financial
and nonfinancial companies.

• Financial service providers such as administrators, prime brokers and banks that assist CIFC as part of the ordinary course of servicing investments;
• Nonaffiliated representatives of CIFC, such as outside counsel, accountants and auditors;
• Persons acting in fiduciary or representative capacity on behalf of an individual investor, such as a custodian or trustee of a grantor trust.

Joint marketing

A formal agreement between nonaffiliated financial companies that together market financial products or services to you.

• Our joint marketing partners include unaffiliated broker dealers, registered investment advisers and other financial companies.