©2024 Conning, Inc. This document is copyrighted with all rights reserved. No part of this document may be distributed, reproduced, transcribed, transmitted, stored in an electronic retrieval system, or translated into any language in any form by any means without the prior written permission of Conning. Conning does not make any warranties, express or implied, in this document. In no event shall Con- ning be liable for damages of any kind arising out of the use of this document or the information contained within it. This document is not intended to be complete, and we do not guarantee its accuracy. Any opinion expressed in this document is subject to change at any time without notice. This document is for informational purposes only and should not be interpreted as an offer to sell, or a solicitation or recommendation of an offer to buy any security, product or service, or retain Conning for investment advisory services. The information in this document is not intended to be nor should it be used as investment advice.
This presentation has been prepared by Octagon Credit Investors, LLC (the “Investment Manager” or “Octagon”) solely for information purposes and is not an offer to sell or the solicitation of an offer to buy an interest in any security which can only be made by a private placement memorandum that contains important information about the proposed product’s risks, fees and expenses (the “Supplemen- tal Disclosure Documents”). Securities are offered through Conning Investment Products, Inc., an affiliated broker dealer and member of FINRA and SIPC. Conning, Inc., Goodwin Capital Advisers, Inc., Conning Investment Products, Inc., a FINRA-registered broker-dealer, Conning Asset Management Limited, Conning Asia Pacific Limited, Octagon Credit Investors, LLC, Global Evolution Holding ApS and its subsidiaries, and Pearlmark Real Estate, L.L.C. and its subsidiaries are all direct or indirect subsidiaries of Conning Holdings Limited (collectively, “CHL Group”) which is one of the family of companies whose controlling shareholder is Generali Investments Holding S.p.A. (“GIH”) a company headquartered in Italy. Assicurazioni Generali S.p.A. is the ultimate controlling parent of all GIH subsidiaries. Conning has investment centers in Asia, Europe and North America.
Octagon Credit Investors, LLC, Conning, Inc., Conning Investment Products, Inc., Goodwin Capital Advisers, Inc., Global Evolution USA, LLC, and PREP Investment Advisers, L.L.C. are registered with the Securities and Exchange Commission (“SEC”) under the Investment Advisers Act of 1940, as amended, and have noticed other jurisdictions they are conducting securities advisory business when required by law. In any other jurisdictions where they have not provided notice and are not exempt or excluded from those laws, they cannot transact business as an investment adviser and may not be able to respond to individual inquiries if the response could potentially lead to a transaction in securities. SEC registration does not carry any official endorsement or indication that the adviser has attained a level of skill or ability.
Some information in this presentation reflects proprietary research based upon various data sources. In addition, some information cited in this presentation has been taken from third-party sources that are believed to be reliable but which have not been verified for accuracy or completeness. Octagon is not responsible for errors or omissions from these sources. No representation is made with respect to the accuracy, completeness or timeliness of information and Octagon assumes no obligation to update or otherwise revise such information. Prospective clients, including those subject to ERISA, should note that this presentation is being furnished to you on the condition that it will not form a primary basis for any investment decision. The Investment Manager makes no representation that the information contained in this presentation is accurate or complete, nor does it review or assume any responsibility for any information received from, or created by, any third parties, including the performance data of indexes and benchmarks. Views expressed herein are subject to change without notice. All data concerning returns and satisfaction of performance tests are historical and based on the Investment Manager’s knowledge; as such, they do not represent current performance levels, some or all of which may have changed since the dates referenced herein. Performance achieved prior to December 31, 2021 was predominantly based on investments that used USD LIBOR as a reference rate. With LIBOR being phased out over the period of time from 2022 through 2023, and the syndicated debt and CLO securities markets transitioning to alternative reference rates, primarily CME Term SOFR, it is possible that this transition has affected returns and that syndicated debt and CLO securities could achieve different returns after this transition than they might have achieved if referencing LIBOR. This document does not constitute investment, tax, legal, regulatory or accounting advice. Under no circumstances should this document be used or considered as an offer to sell or a solicitation of an offer to buy any security, financial instrument or investment vehicle. Investors are advised to make an independent review regarding the economic benefits and risks of purchasing or selling the financial instruments mentioned in this document to determine whether an investment is suitable for them and reach their own conclusions regarding the legal, tax, regulatory, accounting and other aspects of any transaction in the financial instrument in relation to their particular circumstances. Investments described herein carry a risk of loss, which could be significant, and that investors should be prepared to bear.
These materials contain forward-looking statements. Investors should not place undue reliance on forward-looking statements. Actual results could differ materially from those referenced in forward-looking statements for many reasons. Forward-looking statements are necessarily speculative in nature, and it can be expected that some or all of the assumptions underlying any forward-looking state- ments will not materialize or will vary significantly from actual results. Variations of assumptions and results may be material. Without limiting the generality of the foregoing, the inclusion of forward-looking statements herein should not be regarded as a representation by the Investment Manager or any of their respective affiliates or any other person of the results that will actually be achieved by the strategy. None of the foregoing persons has any obligation to update or otherwise revise any forward-looking statements, including any revision to reflect changes in any circumstances arising after the date hereof relating to any assumptions or otherwise.
It is the responsibility of any person in possession of this document and any related materials to inform himself of and to observe all applicable laws and regulations of the countries of his nationality, residence, ordinary residence or domicile. If you are in any doubt about the contents of this document, you should consult your financial consultant, stockbroker, lawyer, accountant or other profes- sional adviser. By your acceptance and use of this document you (i) accept and agree to the foregoing; (ii) represent that you are qualified to receive these materials; and (iii) agree not to copy or circulate these materials or any information in them to any other person without the express consent of the Investment Manager. No part of this document may be reproduced in any manner without the written permission of the Investment Manager.