RIDERS & GENERAL DISCLAIMERS
RIDER A
The description of Ninth Avenue’s prospective investment process contained herein is intended to be representative, but the investment process may be changed from time to time by Ninth Avenue, and Ninth Avenue may not perform certain steps, or may perform additional steps, in its discretion.
GENERAL DISCLAIMER
This website (the “Website”) includes a summary of Ninth Avenue Capital’s (the “Investment Manager”, “Ninth Avenue”, or “the Firm”) prospective investment strategies and process. Ninth Avenue may make changes to these and other aspects of its business in its discretion, and prospective investors should read the relevant forthcoming Firm governing documents prior to considering an investment with Ninth Avenue.
This Website is for informational purposes only and should not be construed as legal, tax, investment, or other advice. This Website does not constitute an offer to sell, or the solicitation of an offer to buy, any product or security, nor will this Website constitute any future offer to sell, or the solicitation of an offer to buy any product or security. An offer may only be made by means of a forthcoming private placement memorandum and governing documents (collectively, the “Firm Documents”) of the Firm, which should be read in their entirety, once available. This information is not intended to be complete or final and will be qualified in its entirety by any applicable Firm Documents, which will only be provided to qualified investors.
Ninth Avenue is a recently formed entity and the Firm is currently in a formation stage; therefore, the information provided on this Website regarding the Firm’s policies, procedures, and processes, which are based on Ninth Avenue’s expectation on how operations will be conducted, is preliminary, is subject to change, and may not conform to actual operational experience.
Prospective investors are encouraged to ask questions of Ninth Avenue and to conduct further due diligence.
Nothing contained herein contains any guarantee or assurance of future positive investment outcomes, a potential investor could lose all or a substantial amount of his or her prospective investment in the Firm. Potential returns generated from an investment with the Firm may not adequately compensate investors for the business and financial risks assumed. The Firm’s prospective investment program is speculative and entails substantial risks. Since market risks are inherent in all securities investments to varying degrees, there can be no assurance that the prospective investment objective of the Firm will be achieved.
Because this communication is a summary only, it may not contain all material terms, including important prospective conflicts disclosures and risk factors associated with a future investment with the Firm; and this communication in and of itself should not form the basis for any potential investment decision. Ninth Avenue is not acting and does not purport to act in any way as an advisor or in a fiduciary capacity vis-à-vis any potential investor in the Firm. Therefore, it is strongly suggested that the reader seek his or her own independent advice in relation to any investment, financial, legal, tax, accounting or regulatory issues discussed herein.
Unless otherwise indicated, the information contained herein is current as of the date indicated on the Website. The information herein is believed to be reliable and has been obtained from sources believed to be reliable, but no representation or warranty is made, expressed or implied, with respect to the fairness, correctness, accuracy, reasonableness or completeness of the information obtained from third parties. Additionally, there is no obligation to update, modify or amend this Website or to otherwise notify a reader in the event that any matter stated herein, or any opinion, projection, forecast or estimate set forth herein, changes or subsequently becomes inaccurate.
Certain Ninth Avenue personnel are mentioned on this Website. Prior experience and activities are not a guarantee or assurance of future positive outcomes. This Website contains statements relating to how the Firm differentiates itself from its peers. Peer comparison, although based on information that is believed to be reliable, inherently contain subjective judgments and should not be relied upon in making a future investment decision.
This Website contains certain statements of opinion as well as certain forward-looking statements, which can be identified by the use of forward-looking terminology such as “may”, “will”, “should”, “expect”, “anticipate”, “target”, “project”, “estimate”, “intend”, “continue” or “believe” or the negatives thereof or other variations thereon or comparable terminology. Due to various risks and uncertainties, actual events or results or the actual policies, procedures and processes of the Investment Manager and the prospective future performance of the Firm may differ materially from those reflected or contemplated in such forward-looking statements and no undue reliance should be placed on these forward-looking statements, nor should the inclusion of these statements be regarded as the Investment Manager’s representation that the Firm will achieve any strategy, objectives or other plans. All statements of opinion incorporate certain assumptions and other subjective judgments that could ultimately turn out to be incorrect. While the Firm believes such assumptions and subjective judgments are reasonable, no representation is made as to the comprehensiveness of the analysis of all relevant considerations.
