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Privacy Policy

Privacy Policy Notice

Angel Oak (“we,” “our,” or “us”) firmly believes that our clients are entitled to the very best service we can offer – and that includes the right to feel comfortable about the personal information, including non-public personal information you share with us. We respect every individual’s right to privacy. We understand the importance you place on the privacy and security of information that personally identifies you or your account information. We have provided this Privacy Notification (“Privacy Notice”) to explain where we obtain information about you, how we use that information, and who has access to the information.

The Securities and Exchange Commission has implemented Regulation S-P, which relates to the privacy of consumer financial information, and has established rules in response to Section 504 of the Gramm-Leach-Bliley Act (GLBA). Regulation S-P and the GLBA limit investment companies, broker-dealers, and registered investment advisers in their disclosure of consumers’ and customers’ non-public personal information. Regulation S-P also requires that financial institutions provide privacy notices in various instances and adopt policies and procedures to protect the personal information of its customers. This Privacy Notice applies to former, current, and prospective customers, as well as business partners and website visitors.

This notice applies to and includes all subsidiaries, parent or sister companies, limited liability companies, partnerships, or other entities controlling, controlled by, or under common control with Angel Oak.

Why and How We Collect Personal Information

We are required by guidelines of our industry to obtain personal information about you while providing investment solutions to you. We use this information to manage your account, direct transactions, and provide you with valuable information. We collect this information mainly from documents you provide to us—through forms, personal interaction, and contract negotiations. The information includes your name, address, telephone number, internet or network activity when visiting our website, social security number, transactional and financial information, as well as other non-public personal information we need to service your account. In addition, we access or generate information to service your account, such as account statements and portfolio holdings. Finally, we may receive information from third parties with respect to your account, such as our affiliates, service providers, and accounts you may have with other financial institutions.

We may collect, use, and disclose your non-public personal information in ways that are compatible with the purposes for which we originally requested it. For example, we will use the information you give us to process your requests for transactions, to meet regulatory requirements, to provide you with additional information about products and services, or to share information with you about your account.

How We Protect the Confidentiality of Your Personal Information

The security of your personal information is important to us. Angel Oak will take reasonable steps and has developed and implemented technical, organizational, and administrative security measures to protect your non-public personal information.

Sharing of Personal Information

Angel Oak does not provide, sell or otherwise disclose non-public personal information about you to outside firms, organizations, or individuals except as required by law or as requested by you. In the course of regular business, Angel Oak will share relevant information with regulators, financial institutions, and other service providers that support our service of your account. We require these third-party service providers and financial institutions to protect the confidentiality of non-public personal information and to use information only for the services for which we hire them and are not permitted to use or share this information for any other purpose. There are times when we distribute information about your account to regulators, financial institutions, and service providers electronically which could include transmitting information via email or by other means over unsecure networks.

We may disclose your information at your request or direction, or with your consent. We may also be required to share information by law due to a subpoena, court order, or regulatory requirements. Additionally, we may disclose information in the event of a sale or transfer of all or a portion of our business or assets (including in the event of a reorganization, dissolution, or liquidation).

Retention of Personal Information

We will retain your personal information for as long as it is necessary to deliver the best possible service to you, unless regulatory requirements require us to retain it for a longer period of time.

Rights to Limited Sharing Under Certain Laws

personal information. We do not: (i) share non-public personal information with non-affiliates to market to you; (ii) engage in joint marketing with non-affiliates; (iii) share non-public personal information with affiliates to market to you; or (iv) share non-public personal information about your creditworthiness with affiliates. However, various state laws in the United States may give you additional rights to limit sharing.

Your Privacy Rights and Choices

Depending on how you interact with us and applicable law, you may have certain rights to your personal information, including:

  • Access and Rectification – If any personal information about you is incorrect, or if you would like to access your data.
  • Opt Out and Erasure – You may opt out of marketing solicitations at any time, as well as request erasure of your personal information provided to Angel Oak.
  • Right to Object – You may object to the processing of your personal information in cases where Angel Oak relies on its legitimate interest to process your data.
  • Data Portability – You are entitled to request copies of your personal information and/or request this information be transmitted to another service provider.

The rights described in this section are subject to exemptions and other limitations under applicable law.

You can exercise these rights by using the contact information provided below.

Updates to this Privacy Notice and Contact for More Information

We may update this Privacy Notice from time-to-time at our sole discretion. If you have questions regarding our customer privacy policy, please contact us at (404) 953-4900.

California Residents

Angel Oak will not share your personal and browsing information with non-affiliated third parties, except as permitted by California law. California residents have certain privacy rights under the California Consumer Privacy Act which requires a specific privacy policy available here.

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Any views expressed on the site you are about to visit, or any articles or interviews therein are those of the participants and are not intended as a forecast or as investment recommendations. Information provided with respect to the Fund’s Portfolio Holdings, Sector Weightings, Number of Holdings, Performance and Expense Ratios are as of the dates described in the article and are subject to change at any time.

 

High Yield Opportunities ETF Prospectus 

Income ETF Prospectus

Mortgage-Backed Securities ETF Prospectus

Multi-Strategy Income Fund Prospectus

Strategic Credit Fund Prospectus

Total Return ETF Prospectus

UltraShort Income ETF Prospectus

UltraShort Income Fund Prospectus

 

Return to the Angel Oak Website to access standardized performance or recent portfolio holdings or positions (High Yield Opportunities ETF Performance, Income ETF Performance, Mortgage-Backed Securities ETF Performance, Multi-Strategy Income Fund Performance, Strategic Credit Fund Performance, Total Return ETF Performance, UltraShort Income ETF Performance, UltraShort Income Fund Performance).

 

Important Social Media Disclosures

 

Performance data current to the most recent month-end and quarter-end can be obtained by clicking the links above.

Past performance is no guarantee of future results. The investment return and principal value of an investment in the Fund will fluctuate so that an investor’s shares, when redeemed, may be worth more or less than their original cost. Current performance may be lower or higher than what is stated.

 

Investing involves risk. Principal loss is possible. Some Funds can make short sales of securities, which involves the risk that losses in securities may exceed the original amount invested. Leverage, which may exaggerate the effect of any increase or decrease in the value of securities in a Fund’s portfolio, may increase the volatility of a Fund. Investments in foreign securities involve greater volatility and political, economic, and currency risks and differences in accounting methods. These risks are increased for emerging markets. Investments in fixed income instruments typically decrease in value when interest rates rise. Derivatives involve risks different from and, in certain cases, greater than the risks presented by more traditional investments. Derivatives may involve certain costs and risks such as illiquidity, interest rate, market, credit, management, and the risk that a position could not be closed when most advantageous. Investments in asset-backed and mortgage-backed securities include additional risks that investors should be aware of, such as credit risk, prepayment risk, possible illiquidity and default, as well as increased susceptibility to adverse economic developments. Investments in lower-rated and non-rated securities present a greater risk of loss to principal and interest than higher-rated securities do. A non-diversified fund may be more susceptible to being adversely affected by a single corporate, economic, political, or regulatory occurrence than a diversified fund. Funds will incur higher and duplicative costs when it invests in mutual funds, ETFs, and other investment companies. There is also the risk that the Funds may suffer losses due to the investment practices of the underlying funds. For more information on these risks and other risks of the Funds, please see the Prospectus.

 

ETFs may trade at a premium or discount to NAV. Shares of any ETF are bought and sold at market prices (not NAV) and are not individually redeemed from the Fund. Brokerage commissions will reduce returns. The Fund is an actively managed ETF, which is a fund that trades like other publicly traded securities. The Fund is not an index fund and does not seek to replicate the performance of a specified index.

 

There is no guarantee that this or any investment strategy will succeed; the strategy is not an indicator of future performance; and investment results may vary.

References to other mutual funds should not be interpreted as an offer of these securities.

Fund holdings and allocations are subject to change at any time and should not be considered a recommendation to buy or sell any security.

Diversification does not guarantee a profit or protect from loss in a declining market.

Indexed annuities are complex, not suitable for all investors, and due to surrender charges it is possible to lose money.

Upside potential may be limited due to participation rates.

The Angel Oak Funds are distributed by Quasar Distributors, LLC.

 

 

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