About this document

This privacy notice explains how Helperby Therapeutics Group Limited (”Helperby, “we”, “our”, “us”) processes your personal data, and your rights in relation to the personal data we hold. This privacy notice concerns our processing of personal data of individuals who are Helperby shareholders and those who apply to invest in Helperby (”you”, “your”).

Helperby (a private limited company registered in England and Wales with registration number 05132505 and registered with the UK Information Commissioner’s Office with registration number ZA342257) will be a ‘data controller’ of your personal data in accordance with UK and European data protection legislation, including the EU General Data Protection Regulation (“GDPR”).

How we collect your personal data

We collect your personal data in various ways, principally:

  • from information you provide to us when you interact with us before you apply to invest in Helperby, for example when you contact us to request information about our company;
  • when you apply to become an investor in Helperby and provide us with your personal data in application forms, investor questionnaires and in statements confirming your investor status, as applicable (and in accompanying identification documents);
  • from third parties and publicly available sources, for example when we carry out due diligence checks on you before we can accept your application to invest in Helperby;
  • in other ways as you interact with us during your time as a shareholder, for example when you meet with us or when we exchange formal correspondence and other communications with you.

The categories of personal data we collect

We collect the following types of personal data about you:

  • Biographical and contact information, including your name, date of birth, nationality and contact information such as address, email address and telephone number;
  • Identification and due diligence information, including, as applicable, copies of your passport details page, UK driving licence or HM Revenue and Customs tax notification; and a proof of address document, such as a utility bill, bank or mortgage statement; and due diligence information such as the results of anti-money laundering background checks; and
  • Investment related information, including, as applicable, the number of shares already issued to you or applied for in a particular application for investing in Helperby, and your investor status (for example, as a high net worth individual, as a self-certified sophisticated investor, or as an EIS investor).

The legal grounds and purposes for processing your personal data

We will process your personal data because it is necessary for the performance of a contract with you (i.e. the terms of the investment offer as captured in an Offer Letter, Application Form and other documents) or in order to take steps at your request prior to entering into such a contract. In this respect, we may use your personal data:

  • to interact with you before you apply to invest in Helperby, for example when you express your interest in becoming a shareholder and we provide you with more information about our company;
  • to process your application to invest in Helperby;
  • once you have become a shareholder in Helperby, for the purposes of distributing financial statements, notices and performance reports about the company, and to make dividend payments, where applicable;
  • corresponding and interacting with you in connection with your involvement as a shareholder in Helperby; and
  • maintaining records of your shareholding.

We will also process your personal data for our compliance with our legal obligations. In this respect, we may use your personal data:

  • to confirm your identity and carry out due diligence checks, including to confirm your identity and investor status and for anti-money laundering purposes;
  • to fulfil our company accounting and tax reporting obligations, principally to Companies House and HM Revenue and Customs in the UK but including under any reporting agreement entered into with a tax authority or revenue service from time to time, including the IRS in the United States;
  • to meet our other compliance and regulatory obligations, including in order to comply with any requirement of any applicable statute, regulation or regulatory rule to which we are subject.

We will also process your personal data because it is necessary for our or a third party’s legitimate interests. Our “legitimate interests” include our commercial interests in operating our business in an efficient and sustainable manner, while targeting growth, in accordance with all applicable legal and regulatory requirements. In this respect, we may use your personal data:

  • in the course of outsourcing selected ‘back office’ functions to third parties (for example, suppliers of hosted software solutions or cloud storage providers) for the purposes of efficient, fast and secure access to data;
  • for record-keeping, accounting and audit purposes, including by storing records of your shareholding with our solicitors, as the most efficient way to keep Helperby’s company books; and
  • in order to keep you informed (by letter, telephone, and email, as applicable) of any further opportunities for investment in Helperby which may be of interest to you. Note: If you do not wish to receive such information about further investment opportunities, please let us know now or at any time in the future, and your details will be removed from our mailing list(s).

We may also process your personal data where:

  • it is necessary for reasons of substantial public interest (for example, where the due diligence checks we carry out involve our processing data relating to criminal convictions and offences and we do not ask your consent because to do so might lead to a ‘tipping off’ offence under anti-money laundering laws); or
  • it is necessary for the establishment, exercise or defence of legal claims (for example, to protect and defend our rights or property, and/or the rights or property of our other investors, or of third parties); and

When your personal data may be shared with others

We may disclose your personal data, where relevant, to:

  • other entities in the Helperby group of companies, such as Helperby Therapeutics Limited, Helperby Therapeutics USA, Inc and Helperby Therapeutics Ireland Limited;
  • third parties we may engage to perform services or to advise us, for example: agencies we engage to perform anti-money laundering checks on our shareholders and prospective investors; auditors and accountants; lawyers; and the providers of company books and record-keeping services; and
  • Companies House, HM Revenue and Customs, and other relevant entities (including a court, government body, law enforcement agency or other authority of competent jurisdiction) when we are legally required to do so.

Transferring your personal data overseas

Where relevant for your shareholding, your personal data may be transferred to and processed outside of the European Economic Area (”EEA”), including to countries which do not provide the same level of protection for personal data as the EEA does. Where this happens, we will put in place appropriate measures to ensure the adequate protection of your personal data when it is transferred outside of the EEA, as required by the GDPR.

In these circumstances, your personal data will only be transferred on one of the following grounds:

  • the country to which the transfer is made ensures an adequate level of protection for personal data;
  • Helperby and the recipient of the personal data outside the EEA have signed a form of model data protection clauses (standard contractual clauses) approved by the European Commission; or
  • there exists another situation where the transfer is permitted under applicable law (for example, where we have your explicit consent to make the transfer).

You can obtain more details of the protection given to your personal data when it is transferred outside the EEA by contacting us using the details set out below.

How long your personal data is kept

We will retain your personal data for as long as you are a shareholder in Helperby, and for as long as permitted or required for legal and regulatory purposes after the relationship between you and us has ended, or if your application for investing in Helperby is declined or abandoned.

Your rights in relation to your personal data

Under the GDPR, you have the following rights in relation to our processing of your personal data. Please note that these rights are not absolute, and we may be entitled to refuse requests where exceptions apply.

  • to obtain access to, and copies of, the personal data that we hold about you;
  • to require us to correct the personal data we hold about you if it is incorrect;
  • to require us to erase your personal data in certain circumstances;
  • to require us to restrict our data processing activities in certain circumstances;
  • to object, on grounds relating to your particular situation, to any of our particular processing activities where you feel this has a disproportionate impact on you;
  • to receive from us the personal data we hold about you which you have provided to us, in a reasonable format specified by you, including for the purpose of you transmitting that personal data to another data controller; and
  • where our processing is based on your consent, you may withdraw that consent, without affecting the lawfulness of our processing based on consent before its withdrawal.

If you are not satisfied with how we are processing your personal data, you can raise a concern with the UK Information Commissioner. You can also find out more about your rights under data protection legislation from the Information Commissioner’s Office website available at: www.ico.org.uk.

Contact us

If you have any comments or questions about how we process your personal data, you can contact Frances Crewdson, Chief Operating Officer, by writing to: Helperby Therapeutics Ltd, 66 Lincoln’s Inn Fields, London, WC2A 3LH. Alternatively, you can contact us by email at: info@helperby.com or by telephone on: +44 (0) 20 7084 6280.