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PRIVACY POLICY
Effective date: January 3, 2022
This privacy policy (“Privacy Policy”) applies to eShares, Inc. DBA Carta,
Inc.’s, and its related and/or affiliated companies’, including subsidiaries’
(“Company” or “Carta”) online tools and platform(s), including the associated
Carta mobile and desktop applications, www.carta.com and other Carta websites
(collectively, the “Services”) and other interactions (e.g., customer service
inquiries, user conferences) you may have with Carta. Except as otherwise
indicated, this Privacy Policy describes how Carta collects, uses, and shares
your personal information and your choices with respect to your personal
information.
CartaX users: For information about the collection, use and sharing of your
personal information in connection with the CartaX website at www.cartax.com or
the services it describes, see the Carta Capital Markets, LLC Privacy Policy.
California residents: Please see the important information in our Notice for
California Residents
Individuals in the European Economic Area, UK or Switzerland: Please see our
Notice for European Users
WHAT WE COLLECT
We get information about you in a range of ways:
Information You Give Us
We may collect your name, postal address, email address, phone number,
username, password, demographic information (such as your occupation), social
security number, tax ID number, bank account information, as well as other
information you directly give us on our Services, which may include marketing,
promotions and when communicating to you about new features.
For customers who have paid software services, we collect your billing details
such as credit card information, banking information, and/or billing address.
Information We Get From Others
We may get information about you from other sources, such as your employer when
they issue you options or shares. We may add this to information you provide us
through our Services.
Information Automatically Collected
Device Information
We may collect information about the devices accessing our Services. Some
examples are: type of device, operating system used, application information,
unique device identifiers and crash data. The type of information we collect
depends on the type of device used and its settings.
Transactional and Usage Information
We may automatically log information about you and your computer, subject to
your consent where required by law. For example, like most services when using
our Services, we log your computer operating system type, browser type, browser
language, pages or screens you viewed, how long you spent on a page or screen,
location (your IP address), access times and information about your use of and
actions on our Services. This is information we collect from every user of the
Services, whether they have an account or not. This information may include
personal information.
Cookies and Similar Technologies Information
As further described below, and subject to your consent where required by law,
we automatically collect information from cookies and similar technologies as
described in our Cookie Policy.
USE AND DISCLOSURE OF PERSONAL INFORMATION
We may use, process and/or disclose personal information for the following
purposes:
* To operate, maintain, and improve the Services. This includes use of other
information to support delivery of our services, assist with service
requests, monitor for errors, remedy security or technical issues, analyze
website and application performances.
* To respond to comments and questions, verify permission access, and provide
customer service.
* To send information including confirmations, invoices and billing, technical
notices, updates, security alerts, and administrative messages.
* To communicate upcoming events and other news about products and services
offered by us.
* To communicate and inform you about system updates and important
services-related notices, such as privacy and policy update notices or
changes in our terms of service. These communications are administrative and
you may not opt out of them.
* To send marketing emails related to the Services, which you may opt out of
using provided unsubscribe links or the opt-out mechanism in those
communications.
* To link or combine user information with other personal information. An
example is when we combine the information a company has provided about their
shareholders with the information entered by shareholders in their personal
portfolios to improve the user experience.
* To protect, investigate, and deter against fraudulent, unauthorized, or
illegal activity, including, but not limited to, validating your identity and
preventing fraud on your account, and complying with KYC rules and
regulations.
* To provide and deliver products and services to our business customers with
respect to their employees or investors. An example is when an employee
exercises their employee stock options and we provide a tax form to their
employer to facilitate compliance with tax laws.
* To facilitate online advertising. Third-party advertising companies and
social media companies may use cookies and similar technologies to collect
information about your interaction over time across the Services, our
communications and other online services, and use that information to serve
online ads that they think will interest you.
We may also use and disclose personal information as follows:
* Our business customers’ equity administrators, authorized users and other
designated representatives can access information that we hold about the
equity information of their employees and investors.
* To comply with laws, lawful requests and legal or regulatory processes.
* To protect the rights, safety and property of Carta, our agents, users,
customers, and others. This includes enforcing our agreements, policies, and
terms of use, reporting on security breaches, or assisting with investigating
and preventing fraud or security issues.
* For instant verification of your bank account information with features
you’re utilizing on Carta, we use Plaid Technologies, Inc. (“Plaid”) to
gather customer data from financial institutions. By using these features,
you grant us and Plaid the right, power, and authority to act on your behalf
to access and transmit your personal and financial information from the
relevant financial institution. You agree to your personal and financial
information being transferred, stored, and processed by Plaid in accordance
with the Plaid Privacy Policy.
We may create, use and share aggregated or anonymized data for any lawful
purpose, such as marketing, analytics or research purposes permitted by law.
We may share personal information with acquirers and other relevant participants
in business transactions (or negotiations for such transactions) involving a
corporate divestiture, merger, consolidation, acquisition, reorganization, sale
or other disposition of all or any portion of the business or assets of, or
equity interests in, Carta (including, in connection with a bankruptcy or
similar proceedings).
We may share other information with third parties in other ways not described in
this Privacy Policy when we have consent (either from users or business
customers) to do so.
We may share personal information with third party companies or individuals that
we engage as service providers to process information and support our business
and services. Examples include providers of cloud hosting and storage services,
analytics, services, email delivery services and customer support services.
We may share personal information with our lawyers, accountants and other
professional advisors in the course of the services they render to us.
RETENTION
We generally retain personal information to fulfill the purposes for which we
collected it, including for the purposes of satisfying any legal, accounting, or
reporting requirements, to establish or defend legal claims, or for fraud
prevention purposes. To determine the appropriate retention period for personal
information, we may consider factors such as the amount, nature, and sensitivity
of the personal information, the potential risk of harm from unauthorized use or
disclosure of your personal information, the purposes for which we process your
personal information and whether we can achieve those purposes through other
means, and the applicable legal requirements.
When we no longer require the personal information we have collected about you,
we will either delete or anonymize it or, if this is not possible (for example,
because your personal information has been stored in backup archives), then we
will securely store your personal information and isolate it from any further
processing until deletion is possible. If we anonymize your personal information
(so that it can no longer be associated with you), we may use this information
indefinitely without further notice to you.
AGE LIMITATIONS
Carta does not allow the use of our Services by anyone younger than 18 years
old. If you learn that anyone younger than 18 has unlawfully provided us with
personal data through the Services, please contact us and we will take steps to
delete such information.
INFORMATION CHOICES AND CHANGES
Our marketing emails tell you how to “opt out.” If you opt out, we may still
send you non-marketing emails. Non-marketing emails include emails about your
accounts and our business dealings with you. If at any time you would like to
change your communication preferences, we provide unsubscribe links and an
opt-out mechanism in those communications for your convenience.
You may send requests about personal information to our Contact Information
below. You can request to change contact choices, opt out of our sharing with
others, and update your personal information.
You can typically remove and reject cookies from our website with your browser
settings. Many browsers are set to accept cookies until you change your
settings. If you remove or reject our cookies, it may affect how our website
works for you. See our Cookie Policy for more information about your choices
regarding cookies.
You can update or correct certain personal information in your Carta account. If
you are unable to do so on your own, the information is likely controlled by the
security issuer and you should contact the security issuer directly to update
your information.
DO NOT TRACK
Some Internet browsers may be configured to send “Do Not Track” signals to the
online services that you visit. We currently do not respond to “Do Not Track” or
similar signals. To find out more about “Do Not Track,” please visit
https://www.allaboutdnt.com.
PRIVACY SHIELD STATEMENT
Carta complies with the EU-U.S. Privacy Shield Framework and Swiss-U.S. Privacy
Shield Framework as set forth by the U.S. Department of Commerce regarding the
collection, use, and retention of personal information transferred from the
European Union and Switzerland to the United States. Carta has certified to the
Department of Commerce that it adheres to the Privacy Shield Principles. If
there is any conflict between the terms in this privacy policy and the Privacy
Shield Principles, the Privacy Shield Principles shall govern. To learn more
about the Privacy Shield program, and to view our certification, please visit
https://www.privacyshield.gov/.
The following Carta subsidiaries also adhere to the Privacy Shield Principles:
Carta Securities LLC, Carta Valuations LLC, Carta Investor Services, Inc., Carta
Financial Technologies, LLC and Carta Capital Markets LLC.
However, neither Carta nor its subsidiaries rely on the EU-U.S. Privacy Shield
Framework as a legal basis for transfers of personal data from the European
Union in light of the judgment of the Court of Justice of the European Union in
Case C-311/18.
Carta is responsible for the processing of personal data we receive, and
subsequently transfers to a third party acting as an agent on our behalf.
Carta commits to cooperate with EU data protection authorities and the Swiss
Federal Data Protection and Information Commissioner and comply with the advice
given by such authorities with regard to human resources data transferred from
the EU and Switzerland in the context of the employment relationship.
Carta is subject to the regulatory enforcement powers of the U.S. Federal Trade
Commission. In certain situations, Carta may be required to disclose personal
data in response to lawful requests by public authorities, including to meet
national security or law enforcement requirements.
For inquiries or complaints regarding this Privacy Policy please first contact
Carta at privacy@carta.com. Please allow a reasonable amount of time to respond
to your request. If you do not receive timely acknowledgement of your complaint,
if your complaint is not satisfactorily addressed by Carta, or if you have an
unresolved privacy or data use concern that we have not addressed
satisfactorily, please contact our U.S.-based third party dispute resolution
provider (free of charge) at https://feedback-form.truste.com/watchdog/request.
If these processes do not result in a resolution, you may then contact your
local data protection authority, the U.S. Department of Commerce, and/or the
Federal Trade Commission for assistance.
Under certain circumstances a binding arbitration option is available to you to
determine, for residual claims, whether Carta has violated its obligations to
you under the Privacy Shield Principles, and whether any such violation remains
fully or partially unremedied. This option is available only for these purposes.
Please be advised that the arbitrator(s) may only impose individual-specific,
non-monetary, equitable relief necessary to remedy any violation of the Privacy
Shield Principles with respect to the resident.
Carta may transfer your Personal Data to countries other than the one in which
you live.
CONTACT INFORMATION
We welcome your comments or questions about this Privacy Policy. You may contact
us at:
Data Protection Officer
privacy@carta.com
eShares, Inc. DBA Carta, Inc. 333 Bush St., Floor 23, Suite 2300 San Francisco,
CA 94104
NOTICE FOR CALIFORNIA RESIDENTS
Scope. This section applies only to California residents. It describes how we
collect, use, and share Personal Information of California residents in our
capacity as a “business” under the California Consumer Privacy Act (“CCPA”) and
their rights with respect to that Personal Information. For purposes of this
section, “Personal Information” has the meaning given in the CCPA. However,
this section does not apply to:
* Information exempted from the scope of the CCPA, including nonpublic personal
information;
* Personal Information we collect from individuals acting in their capacities
as representatives of organizations solely in the context of conducting due
diligence regarding, or providing or receiving a product or service to or
from, such organizations; and
* Personal Information we collect, use, and share on behalf of our customers as
a “service provider” under the CCPA for purposes of providing our services to
them.
Carta does not sell (as such term is defined in the CCPA) the Personal
Information we collect (and will not sell it without providing a right to opt
out).
Your California privacy rights. You have the following rights under the CCPA:
* Information. To request the following information about how we have
collected and used your Personal Information during the past 12 months:
* * The categories of Personal Information that we have collected.
* The categories of sources from which we collected Personal Information.
* The business or commercial purpose for collecting Personal Information.
* The categories of third parties with whom we share Personal Information.
* Whether we have disclosed your Personal Information for a business purpose,
and if so, the categories of Personal Information disclosed to each
category of third party recipient.
* Access. To request a copy of the Personal Information that we have collected
about you during the past 12 months.
* Deletion. To request that we delete the Personal Information that we have
collected from you.
* Nondiscrimination. To exercise the rights described above free from
discrimination as provided in the CCPA.
How to exercise your rights. You may submit requests to exercise your right to
information, access or deletion by submitting your request here or via email to
privacy@carta.com or toll-free at +1-855-921-2859. We will need to verify your
identity to process your information, access and deletion requests and we
reserve the right to confirm your California residency. You may be required to
provide government identification, give a declaration as to your identity under
penalty of perjury and/or provide additional information. If you wish to
designate an authorized agent to make a request on your behalf, we will need to
verify both your and your agent’s identities and your agent must provide a valid
power of attorney pursuant to California Probate Code Sections 4000-4465. If
you have not provided your agent with such a power of attorney, you must provide
your agent signed permission to exercise your CCPA rights on your behalf,
provide the information we request to verify your identity, and provide us with
written confirmation that you have given the authorized agent permission to
submit the request. We cannot process your request if you do not provide us with
sufficient detail to allow us to understand and respond to it. In certain
cases, we may be required or permitted by law to deny your request.
Personal information that we collect, use and disclose. For each category of
data described above in the “What we collect” section of the Privacy Policy, the
list below summarizes the Personal Information we collect by reference to the
categories of Personal Information specified in the CCPA, and describes our
practices currently and during the 12 months preceding the effective date of
this Privacy Policy. Information you voluntarily provide to us, such as in
free-form webforms, may contain other categories of personal information not
described below.
Examples of Personal Information Collected CCPA Categories Source You give us
Name, postal address, email address, phone number, username, password,
demographic information, social security number, tax ID number, billing
information California Customer Records (as defined in California Civil Code
section 1798.80); financial information; identifiers; inferences; online
identifiers You We get from others Information from your employer when they
issue you options or shares California Customer Records (as defined in
California Civil Code section 1798.80); commercial information; identifiers
Third parties Automatically collected: device information Type of device,
operating system used, application information, unique device identifiers and
crash data Commercial information; internet or network information; online
identifiers Automatic collection Automatically collected: transactional and
usage information Your computer operating system type, browser type, browser
language, pages you viewed, how long you spent on a page, location, access times
and information about your use of and actions on our website Commercial
information; geolocation data; internet or network information Automatic
collection Automatically collected: cookies and similar technologies information
Cookie ID and settings Commercial information; internet or network information;
online identifiers Automatic collection
The business/commercial purposes for which we use these categories of Personal
Information, and the types of third parties to which we disclose these
categories of Personal Information for business purposes are described in the
section above entitled “Use and disclosure of personal information.”
NOTICE FOR EUROPEAN USERS
The information provided in this section applies only to individuals in the
European Economic Area, United Kingdom and Switzerland (collectively, “Europe”)
and explains our practices regarding personal information that we collect from
you or which we have obtained about you from a third party and the legal basis
for processing for your personal information. It also sets out your rights in
respect of our processing of your personal information.
Personal information. References to “personal information” in this Notice to
European Users are equivalent to “personal data” governed by the General Data
Protection Regulation (GDPR).
Controller or Processor. eShares, Inc. DBA Carta, Inc. may be either the
controller or processor of your personal information covered by this Privacy
Policy, as stated under the heading “Information We Get From Others”.
EU representative. Our EU representative’s details can be obtained by emailing
privacy@carta.com.
Data protection officer. Our data protection officer can be contacted at: Data
Protection Officer, privacy@carta.com, eShares, Inc. DBA Carta, Inc. 333 Bush
St., Floor 23, Suite 2300 San Francisco, CA 941014
Legal basis for processing. The legal bases of our processing of your personal
information as described in this Privacy Policy will depend on the type of
personal information and the specific context in which we process it. However,
the legal bases we typically rely on are set out in the table below. We use
your Personal Information only as permitted by law. Our legal basis for
processing the personal information described in this Privacy Policy are
described in the table below:
Processing purpose
Details regarding each processing purpose listed below are provided in the
section above titled “Use and disclosure of personal information”.
Legal basis
* To operate, maintain, and improve the Services.
* To respond to comments and questions, verify permission access, and provide
customer service.
* To send information.
* To communicate.
* To provide and deliver products and services.
* To link or combine user information with other personal information.
Processing is necessary to perform the contract governing our provision of our
Services or to take steps that you request prior to signing up for the Services.
If we have not entered into a contract with you, we process your personal
information based on our legitimate interest in providing the Services you
access and request.
* For marketing, analytics or research purposes.
* To facilitate online advertising.
These activities constitute our legitimate interests. We do not use your
personal information for these activities where our interests are overridden by
the impact on you (unless we have your consent or are otherwise required or
permitted to by law).
* To protect, investigate, and deter against fraudulent, unauthorized, or
illegal activity.
* To comply with any applicable law.
* For legal, protection, information security, and safety purposes.
* To comply with laws, lawful requests and legal or regulatory processes.
* To protect the rights and property of Carta, our agents, customers, and
others.
Processing is necessary to comply with our legal obligations.
* With your consent
Processing is based on your consent. Where we rely on your consent, you have the
right to withdraw it any time in the manner indicated when you consent or in the
Services.
Use for new purposes. We may use your personal information for reasons not
described in this Privacy Policy where permitted by law and the reason is
compatible with the purpose for which we collected it. If we need to use your
personal information for an unrelated purpose, we will notify you and provide
the applicable legal basis.
Sensitive personal information. We ask that you not provide us with any
sensitive personal information (e.g., information related to racial or ethnic
origin, political opinions, religion or other beliefs, health, biometrics or
genetic characteristics, criminal background or trade union membership) on or
through the Services, or otherwise to us.
If you provide us with any sensitive personal information to us when you use the
Services, you must consent to our processing and use of such sensitive personal
information in accordance with this Privacy Policy. If you do not consent to our
processing and use of such sensitive personal information, you must not submit
such sensitive personal information through our Services.
Your rights. You have the following rights in relation to the personal
information we hold about you:
* Right of access: You can ask us if we are processing your personal
information and to provide you with a copy of it (along with certain
details). If you require additional copies, we may need to charge a
reasonable fee.
* Right to rectification: If the personal information we hold about you is
inaccurate or incomplete, you are entitled to request to have it rectified.
* Right to erasure: You can ask us to delete or remove your personal
information in some circumstances such as where we no longer need it or if
you withdraw your consent to our processing of your personal information
(where applicable).
* Right to restrict processing: You can ask us to “block” or suppress the
processing of your personal information in certain circumstances, such as
where you contest the accuracy of that personal information.
* Right to data portability: You have the right, in certain circumstances, to
obtain personal information you have provided us with (in a structured,
commonly used and machine readable format) and to reuse it elsewhere or to
ask us to transfer this to a third party of your choice.
* Right to object: You can ask us to stop processing your personal information,
and we will do so, if we are:
* * relying on our own or someone else’s legitimate interests to process your
personal information, unless we can demonstrate compelling legal grounds
for the processing; or
* processing your personal information for direct marketing purposes.
* Right to withdraw consent: If we rely on your consent (or explicit consent)
as our legal basis for processing your personal information, you have the
right to withdraw that consent at any time.
* Right to lodge a complaint with the supervisory authority: If you have a
concern about any aspect of our privacy practices, including the way we have
handled your personal information, you can report it to the relevant
Supervisory Authority. You can find your data protection regulator here.
You may submit these requests here or email privacy@carta.com or to our postal
address provided above. We may request specific information from you to help us
confirm your identity and process your request. Applicable law may require or
permit us to decline your request. If we decline your request, we will tell you
why, subject to legal restrictions.
Cross-border data transfer. If we transfer your personal information out of
Europe to a country not deemed to provide an adequate level of personal
information protection for purposes of applicable data protection laws such that
additional safeguards are required, the transfer will be performed:
* pursuant to the recipient’s compliance with Standard Contractual Clauses;
* pursuant to the consent of the individual to whom the personal information
pertains; or
* as otherwise permitted by applicable laws.
You may contact us if you want further information on the specific mechanism
used by us when transferring your personal information out of Europe.
Changes to this Privacy Policy
We reserve the right to modify this Privacy Policy at any time. If we make
material changes to this Privacy Policy, we will notify you by updating the date
of this Privacy Policy and posting it on the Services. If required by law we
will also provide notification of changes in another way that we believe is
reasonably likely to reach you, such as via email or another manner through the
Services. Any modifications to this Privacy Policy will be effective upon our
posting the modified version (or as otherwise indicated at the time of posting).
In all cases, your use of the Services after the effective date of any modified
Privacy Policy indicates your acceptance of the modified Privacy Policy.
Privacy Shield Statement
Carta complies with the EU-U.S. Privacy Shield Framework and Swiss-U.S. Privacy
Shield Framework as set forth by the U.S. Department of Commerce regarding the
collection, use, and retention of personal information transferred from the
European Union and Switzerland to the United States. Carta has certified to the
Department of Commerce that it adheres to the Privacy Shield Principles. If
there is any conflict between the terms in this privacy policy and the Privacy
Shield Principles, the Privacy Shield Principles shall govern. To learn more
about the Privacy Shield program, and to view our certification, please visit
https://www.privacyshield.gov/.
The following Carta subsidiaries also adhere to the Privacy Shield Principles:
Carta Securities LLC, Carta Valuations LLC, Carta Investor Services, Inc., Carta
Financial Technologies, LLC and Carta Capital Markets LLC.
However, neither Carta nor its subsidiaries rely on the EU-U.S. Privacy Shield
Framework as a legal basis for transfers of personal data from the European
Union in light of the judgment of the Court of Justice of the European Union in
Case C-311/18.
Carta is responsible for the processing of personal data we receive, and
subsequently transfers to a third party acting as an agent on our behalf.
Carta commits to cooperate with EU data protection authorities and the Swiss
Federal Data Protection and Information Commissioner and comply with the advice
given by such authorities with regard to human resources data transferred from
the EU and Switzerland in the context of the employment relationship.
Carta is subject to the regulatory enforcement powers of the U.S. Federal Trade
Commission. In certain situations, Carta may be required to disclose personal
data in response to lawful requests by public authorities, including to meet
national security or law enforcement requirements.
For inquiries or complaints regarding this Privacy Policy please first contact
Carta at privacy@carta.com. Please allow a reasonable amount of time to respond
to your request. If you do not receive timely acknowledgement of your complaint,
if your complaint is not satisfactorily addressed by Carta, or if you have an
unresolved privacy or data use concern that we have not addressed
satisfactorily, please contact our U.S.-based third party dispute resolution
provider (free of charge) at https://feedback-form.truste.com/watchdog/request.
If these processes do not result in a resolution, you may then contact your
local data protection authority, the U.S. Department of Commerce, and/or the
Federal Trade Commission for assistance.
Under certain circumstances an binding arbitration option is available to you to
determine, for residual claims, whether Carta has violated its obligations to
you under the Privacy Shield Principles, and whether any such violation remains
fully or partially unremedied. This option is available only for these
purposes. Please be advised that the arbitrator(s) may only impose
individual-specific, non-monetary, equitable relief necessary to remedy any
violation of the Privacy Shield Principles with respect to the resident.
Carta may transfer your Personal Data to countries other than the one in which
you live.
Contact information
We welcome your comments or questions about this Privacy Policy. You may contact
us at:
Data Protection Officer
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eShares, Inc. DBA Carta, Inc. (“Carta”) is registered with the U.S. Securities
and Exchange Commission as a transfer agent. The services and information
described in this communication are provided to you “as is” and “as available”
without warranties of any kind, expressed, implied or otherwise, including but
not limited to all warranties of merchantability, fitness for a particular
purpose, or non-infringement.
Neither Carta nor any of its affiliates will be liable for any damages,
including without limitation direct, indirect, special, punitive or
consequential damages, caused in any way or arising from the use of the services
or reliance upon the information provided in this communication or in connection
with any failure of performance, error, omission, interruption, defect, delay in
operation or transmission, computer virus or line or system failure. Carta
offers certain brokerage services through its wholly owned broker-dealer
subsidiaries, Carta Securities, LLC (Member: FINRA/SIPC) and Carta Capital
Markets, LLC (Member: FINRA/SIPC). Contact: eShares, Inc. DBA Carta, Inc., 333
Bush Street, Floor 23, Ste. 2300, San Francisco, CA 94104.
© 2022 eShares, Inc. DBA Carta, Inc.
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