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Privacy Policy

WHAT DOES AST DO WITH YOUR PERSONAL INFORMATION?

FACTS

WHAT DOES AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC (AST) 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;
  • Transaction history;
  • Account transactions;
  • Wire transfer instructions; and
  • Shareholder bank/brokerage account information

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.

 

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

Does AST share?  

Yes

Can you limit this sharing?

No



For our marketing purposes -
 To offer our products and services to you

 

No

 

We do not share

 

For joint marketing with other financial companies



No



We do not share

 

For our affiliates’ everyday business purposes - Information
About your transactions and experiences


Yes


No

 

For our affiliates to market to you



No



We do not share

 

For our affiliates’ everyday business purposes - Information about your
creditworthiness


No


We do not share

 

For nonaffiliates to market to you



No



We do not share

How does AST protect my personal information?

These measures include computer safeguards and secured files and buildings.

AST has implemented numerous physical, electronic, and procedural safeguards to prevent the unauthorized sharing of information, including limiting information to necessary employees and encryption of sensitive transmissions using SSL protection.

How does AST collect my personal information?

We collect your personal information, for example, when you

  • Open an account;
  • Direct us to buy securities;
  • Direct us to sell your securities;
  • Give us your contact information; and
  • Pay us by check

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
  • Account transactions;
  • Sharing for non-affiliates to market to you

OTHER QUESTIONS

DEFINITIONS

Affiliates

Companies not related by common ownership or control. They can be financial and nonfinancial companies. Our affiliates include companies such as

  • AST Equity Plan Solutions
  • AST Fund Solutions
  • AST Investor Services
  • D.F King & Co., Inc.
  • Donlin Recano & Company, Inc.
  • AST Ownership Intelligence
  • AST Personal Wealth Solutions
  • Link Shareholder Services
  • AST Trust Company (Canada)

Nonaffiliates

Companies related by common ownership or control. They can be financial and nonfinancial companies. AST does not share with nonaffiliates so they can market to you

Joint marketing

A formal agreement between non-affiliated financial companies that together market financial products or services. AST does not jointly market.

Questions? Call 718.921.8200 or go to www.astfinancial.com.