ADVISER TO THE MAINGATE MLP FUND

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Department: Investor Relations: Intermediaries/Advisors

Ralph Lettieri

Ralph is the West Coast Regional Sales Director for Chickasaw Capital Management, LLC focused on providing ideas and solutions to assist Financial Advisors with their practices in the Western United States. He has more than 25 years of experience in the financial services industry with the majority of those years spent as a Vice President […]

Andrew Z. Lapsley, CFA

Drew is a Managing Director at Chickasaw Capital Management, LLC, focused on the Client Portfolio Management team. He most recently was a Vice President at Goldman Sachs Asset Management where he served for 18 years. Drew was the lead Client Portfolio Manager for energy and infrastructure investing , having worked on the Goldman energy team […]

Transparency in Coverage

This link leads to the machine-readable files that are made available in response to the federal Transparency in Coverage Rule and includes negotiated service rates and out-of-network allowed amounts between health plans and healthcare providers. The machine-readable files are formatted to allow researchers, regulators, and application developers to more easily access and analyze data.

https://www.bcbst.com/tcr

Business Continuity Planning
Chickasaw Capital Management, LLC
Chickasaw Securities, LLC
Business Continuity Planning

We have developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions are unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at 901-537-1866 or 800-743- 5410, you should go to our web site at www.chickasawcap.com for further direction.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

We back up important records in a geographically separate area. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, our objective is to restore operations and be able to complete existing transactions and accept new transactions and payments within 24 hours. Your orders and requests for funds and securities could be delayed during this period.

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 2 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business within 24 hours. In either situation, we plan to continue in business and notify you how to contact us through our web site www.chickasawcap.com. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers prompt access to their funds and securities.

For more information – If you have questions about our business continuity planning, you can contact us at 901-537-1866 or 800-743-5410.

Chickasaw Capital Management, LLC
Social Media Guidelines

Chickasaw Capital Management, LLC (“Chickasaw”) is not affiliated with any social media site and does not expressly or implicitly adopt or endorse any products, sponsored or promoted content, services, advertisements, recommendations, opinions, statements, comments, or responses that may appear on any social media site, including social media sites that it actively participates in. Use at your own risk. Opinions or comments expressed by third-party users of each social media site are those of the persons submitting them and do not represent the view of Chickasaw. Read the terms of service and privacy policy on each social media site.

Chickasaw social media accounts are open to the public. Anything posted to our social media networks may be seen and read by everyone. Chickasaw does not endorse any comments made by third parties, including, but not limited to vendors, consultants, and unauthorized employees. Chickasaw reserves the right to remove any comments or content depending on the comment or response structure of a particular social media site and the editorial policies and content guidelines of the particular social media site. For example, comments or responses may be removed if they constitute defamatory statements; threatening language; materials that infringe on intellectual property rights; materials that contain viruses, spam or other harmful components; racially offensive statements; or profanity.

The views and opinions expressed on Chickasaw spokesperson accounts are those of each individual and do not necessarily represent those of Chickasaw. The comments are provided for informational purposes only and should not be construed as investment advice or an offer or solicitation to buy or sell any security, product or service of Chickasaw or any third party.

Social media sites on which Chickasaw participates may be moderated. Chickasaw may manage a variety of social media channels, and to the extent permitted by the comment or response structure of a particular social media site and the editorial policies and content guidelines of the particular social media site, Chickasaw strives to create an informative and engaging community. To this end, Chickasaw asks that you keep any dialog respectful of others, and refrain from any discussion about investment advice, specific securities, or investment strategies. Chickasaw expects that social media communications between Chickasaw and its intended audience will be lawful, productive, informative, and respectful of diverse viewpoints. Chickasaw’s social media activities are intended for U.S. persons only.

Chickasaw’s social media sites are not intended to provide advice on legal, tax or accounting matters and any information on Chickasaw’s social media sites is not intended or written to be used, and cannot be used, for the purpose of avoiding penalties that may be imposed on any taxpayer under U.S. federal income tax laws. Investors should consult their own legal, tax, accounting, investment or other advisors and obtain their own independent tax advice at both the onset of any transaction and on an ongoing basis to determine the laws and analyses applicable to their specific circumstances.

Chickasaw gives no guarantees with respect to the success of its investment management services and has not authorized any person to represent or guarantee any particular investment results. Any historical data provided on Chickasaw’s social media sites are solely for the purpose of illustrating past performance and not as a representation or prediction that such performance could or will be achieved in the future. Securities are subject to numerous risks, including market, currency, economic, political and business risks. Investments in securities will not always be profitable, and investors may lose money, including principal. Past performance is no guarantee of future results.

Transaction requests, account inquiries or complaints of any sort related to the activities or business dealings of Chickasaw or its employees should not be made through any social media site. If you believe, in good faith, that material available on a Chickasaw social media site is infringing on your intellectual property rights, please contact us at ChickasawCompliance@chickasawcap.com.

Please visit our web site at www.chickasawcap.com for more information.

Last Revised: 3/31/2021

Terms

Last updated January 13, 2016

The www.chickasawcap.com website (the “Website”) is a service of Chickasaw Capital Management, LLC (“CCM,” “us” or “we”). These www.chickasawcap.com Terms & Conditions and any additional terms or conditions that we post on the Website from time-to-time (“Terms”) set forth the terms and conditions under which you may enter and use the Website. As used herein CCM means CCM and its affiliates.

Please read the Terms carefully. By entering or using the Website, you agree to the Terms. If you do not agree to the Terms (without modification), you are not authorized to view or use the Website.

CCM reserves the right to modify or change the Terms at any time without prior notice to you. Such modification or change shall be effective upon posting on the Website. If CCM revises the Terms, it will also revise the “Last Updated” date at the top of this page. The most current version of the Terms can be reviewed by clicking on the “Terms & Conditions” hypertext link located at the bottom of CCM’s web pages. Your continued entry to and/or use of the Website after CCM posts any revised Terms constitutes your agreement to any such revised Terms.

Disclaimer: This material should not be construed as an offer to sell or the solicitation of an offer to buy any security in any jurisdiction where such an offer or solicitation would be illegal. We are not soliciting any action based on this material, nor are we making any recommendation. This material is general information. It does not take into account the particular investment objectives, financial situations, or needs of individual clients. Before acting on any advice or recommendation in this material, you should consider whether it is suitable for your particular circumstances and, if necessary, seek professional advice. Securities or financial instruments mentioned in the Website may not be suitable or appropriate for all investors or in all geographical areas.

Nothing contained on this Website constitutes tax, legal, insurance or investment advice. In exchange for using this Website, the visitor agrees to indemnify and hold CCM, its officers, directors, employees, affiliates, agents, licensors and suppliers harmless against any and all claims, losses, liability, costs and expenses (including but not limited to attorneys’ fees) arising from your violation of these Terms.

THE INFORMATION AND SERVICES PROVIDED ON THIS WEBSITE ARE PROVIDED “AS IS” AND WITHOUT WARRANTIES OF ANY KIND, EITHER EXPRESSED OR IMPLIED. TO THE FULLEST EXTENT PERMISSIBLE PURSUANT TO APPLICABLE LAW, CCM DISCLAIMS ALL WARRANTIES, INCLUDING, BUT NOT LIMITED TO, ANY WARRANTY OF NON-INFRINGEMENT OF THIRD-PARTY RIGHTS AND ANY IMPLIED WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE. CCM DOES NOT WARRANT, EITHER EXPRESSLY OR IMPLIEDLY, THE ACCURACY OR COMPLETENESS OF THE INFORMATION, TEXT, GRAPHICS, LINKS OR OTHER ITEMS CONTAINED ON THIS WEBSITE AND DOES NOT WARRANT THAT THE FUNCTIONS CONTAINED IN THIS WEBSITE WILL BE UNINTERRUPTED OR ERROR-FREE, THAT DEFECTS WILL BE CORRECTED, OR THAT THE WEBSITE WILL BE FREE OF VIRUSES OR OTHER HARMFUL COMPONENTS.

General Use and Restrictions

Use of Website. Conditioned upon, and subject to, your strict compliance with the Terms, CCM grants you a personal, non-exclusive, non-transferable, limited license to enter and use the Website to view information. You agree not to enter or use the Website for any purpose that is prohibited by these Terms or is otherwise unlawful. You further agree to comply with all applicable U.S. and international laws, statutes, ordinances, regulations, contracts and applicable licenses regarding your use of the Website.

Information Provided. If you provide any information to us, you agree to provide only true, accurate, current and complete information.

Use of Content. You may print or copy any information displayed or transmitted on the Website (collectively, “Content”) that you are authorized to access, solely for informational and non-commercial, personal use; provided that you (a) do not remove any title, trademark, copyright and/or restricted rights notices contained on such Content, and (b) strictly comply with the provisions of the Terms.

Restrictions. Except as provided in above, you may not (and you agree that you will not) reproduce, alter, modify, create derivative works, or publicly display any Content without first receiving CCM’s express written permission.

Trademarks, Copyrights and Other Intellectual Property

Except for Content that is in the public domain, the Website and all original Content, as well as the selection and arrangement of the Content, is owned by (or licensed to) CCM or its suppliers and is protected by copyright, trade dress, trademark, unfair competition, and/or other laws and may not be used, copied or imitated in whole or in part except as expressly provided herein.

Links to Other Websites: CCM may provide hyperlinks to other web sites and Internet resources operated by parties other than CCM. CCM has no control over such sites and resources or their privacy policies.

Links to CCM From Other Websites: Subject to the further provisions of this Section, CCM must pre-approve links to the Website from other web sites.

Transmissions to and From This Website: Electronic communications can be intercepted by third parties and, accordingly, transmissions to and from this Website may not be secure. Communications to CCM, particularly those containing confidential information, may be sent by mail to: Chickasaw Capital Management, 6075 Poplar Avenue, Suite 720, Memphis, TN 38119.

Jurisdiction: The information provided on this Website is not intended for distribution to, or use by, any person or entity in any jurisdiction or country where such distribution or use would be contrary to law or regulation or which would subject CCM or its affiliates to any registration requirement within such jurisdiction or country.

Integration, Severability and Governing Law: These Terms shall be subject to any other agreements you have entered into with CCM. Your access to and use of the Website, and the terms of this disclaimer are governed by Tennessee law. Any action against CCM arising from or relating to your access to and/or use of the Website and the provisions of these Terms must be brought by you in state or federal court located in the State of Tennessee, County of Shelby.

Chickasaw Capital Management, LLC
Chickasaw Securities, LLC
Privacy Policy

Effective as of March 13, 2020

We are committed to keeping the personal information collected from our potential, current and former customers confidential and secure. The proper handling of personal information is one of our highest priorities. We want to be sure that you know why we need to collect personal information from you. We also want to explain to you our commitment to protect the information you provide to us. We never sell your information to any outside parties.

Customer Information

We collect and keep only information that is necessary for us to provide services requested by you and to administer your business with us. We may collect nonpublic personal information:

  • From you when you complete an application or other form or when you disclose the information during a consultation. This includes information such as name, address, birth date, social security number, assets, income, occupation, net worth and other information deemed necessary to evaluate your financial needs.
  • As a result of transactions with us, or with our affiliates or others. This could include transactions completed with us, information received from outside vendors to complete transactions or to effect planning goals.

Sharing Information

Financial companies choose how they share your personal information. Federal law gives the consumer the right to limit some but not all sharing. All financial companies need to share their customers’ personal information to run their everyday business. We only share your nonpublic personal information with non‐affiliated companies, affiliates or individuals as permitted or required by law.

When we provide personal information to a service provider, we require these providers to agree to safeguard your information, to use the information only for the intended purpose, to perform the specific service we have requested, and to abide by applicable law.

Internet Access

We provide a website on the Internet for our company which is informational only. You should check the privacy policy for any links provided upon leaving our web site. We provide access to your securities accounts via the Internet. Your password is your private entry key into your account. You should never share it with anyone, and you should change it periodically.

Access to Information

Only persons with a valid business reason have access to your personal information. These persons are educated on the importance of maintaining the confidentiality and security of this information. They are required to abide by our information handling practices.

Protection of Information

We maintain security standards to protect your information, whether written, spoken, or electronic. We update and test our systems to ensure the protection and integrity of information.

Disclosure of Our Privacy Policy

As a member of the financial services industry, we are sending you this Notice of Privacy Policy for informational purposes and will update and distribute it as required by law. It is also available upon request.

Opt Out Provision

If you prefer that we not disclose nonpublic personal information about you to nonaffiliated third parties, you may opt out of those disclosures, that is, you may direct us not to make those disclosures (other than disclosures permitted or required by law). If you wish to opt out of disclosures to nonaffiliated third parties, you may call the following toll‐free number: 1‐800‐743‐5410.

Former Customers

If your customer relationship with us ends, we will not destroy your personal information unless required or permitted by law. We will continue to treat your personal information in accordance with this Privacy Policy and applicable laws.

Internet Tracking Disclosure

We do not have the protocol that offers you the choice to opt‐out of internet tracking. You may reset your web browser to enable do not track functionality if your browser supports it.

Cookies

When you visit our site, we may collect information about your use of our site through “cookies”. Cookies are small bits of information transferred to your computer’s hard drive that allow us to know how often a user visits our site and the activities they are most interested in performing. We require the acceptance of cookies to enable users to take full advantage of specific services offered.

Additional Disclosures for California Residents

We may collect, process or disclose certain personal information of California residents that is subject to certain provisions of the California Consumer Privacy Act of 2018, as amended (the “CCPA”). California residents have the following rights with respect to such personal information to the extent such information is subject to the provisions of the CCPA.

Category of Personal Information

Examples

Whether Collected

Whether Disclosed for a Business Purpose

(A) Identifiers

Real name, alias, postal address, unique personal identifier, online identifier, Internet Protocol address, email address, account name, social security number, driver’s license number, passport number, or other similar identifiers

YES

YES

(B) Personal information categories listed in the California Customer Records statute

Name, signature, social security number, physical characteristics or description, address, telephone number, passport number, driver’s license or state identification card number, insurance policy number, education, employment, employment history, bank account number, credit card number, debit card number, or any other financial information

YES

YES

(C) Protected classifications

Age, race, color, ancestry, national origin, citizenship, religion or creed, marital status, medical condition, physical or mental disability, sex/gender, sexual orientation, veteran status, genetic information

YES

YES

(D) Commercial information

Records of personal property, products or services purchased, obtained, or considered, or other purchasing or consuming histories or tendencies

YES

YES

We obtain the categories of personal information listed above from the following categories of sources:

  • Directly from the California resident or his/her agent. For example, from documents and information that our clients provide to us.
  • Indirectly from the California resident or his/her agent. For example, through information we collect from visitors interacting with our web site.
  • From third parties that interact with us in connection with the investment advisory services we provide.

For questions or concerns about our privacy practices, please contact us at:

Phone: 901‐537‐1866 or 800‐743‐5410
Website: www.chickasawcap.com

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