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Important Information
Aspen Merger Corp is an investment adviser registered with the U.S. Securities and Exchange Commission under the Investment Advisers Act of 1940. ASPEN MERGER CORP prepared this material for informational purposes only and should not be viewed as advice or recommendations with respect to asset allocation or any particular investment. It is not our intention to state or imply in any manner that past results are an indication of future performance. Future results cannot be guaranteed and a loss of principal may occur. This material does not constitute financial, investment, accounting, tax or legal advice. It does not constitute an offer to buy or sell or a solicitation of any offer to buy or sell any security/instrument, or to participate in any trading strategy. The securities/instruments discussed in this material may not be suitable for all investors. The appropriateness of a particular investment or strategy will depend on an investor’s individual circumstances and objectives. Specific needs of a client must be reviewed and assessed before determining the proper investment objective and asset allocation which may be adjusted to market circumstances. ASPEN MERGER CORP may make investment decisions for its clients that are different from or inconsistent with the analysis in this report. ASPEN MERGER CORP clients may invest in categories of securities or other instruments not covered in this report. Descriptions provided in this material are not substitutes for disclosure in offering documents for particular investment products. Any specific holdings discussed do not represent all of the securities purchased, sold or recommended by ASPEN MERGER CORP, and the reader should not assume that investments in the companies identified and discussed were or will be profitable. Upon request, we will furnish a list of all securities recommended to clients during the past year. Performance results for individual accounts may vary due to the timing of investments, additions/withdrawals, length of relationship, and size of positions, among other reasons. Prospective investors should perform their own investigation and evaluation of investment options, should ask ASPEN MERGER CORP for additional information if needed, and should consult their own attorney and other advisors. Indices are unmanaged and do not reflect fees or transaction expenses. You cannot invest directly in an index. References to benchmarks or indices are provided for information only. The securities discussed herein were holdings during the quarter. They will not always be the highest performing securities in the portfolio, but rather will have some characteristic of significance relevant to the article (e.g., reported news or event, a new contract, acquisition/divestiture, financing/refinancing, revenue or earnings, changes to management, change in relative valuation, plant strike, product recall, court ruling). ASPEN MERGER CORP obtained this information from multiple sources believed to be reliable as of the date of publication; ASPEN MERGER CORP, however, makes no representations as to the accuracy or completeness of such third party information. Unless otherwise noted, any recommendations, opinions and analysis herein reflect our judgment at the date of this report and are subject to change. ASPEN MERGER CORP has no obligation to update, modify or amend this information or to otherwise notify a reader thereof in the event that any such information becomes outdated, inaccurate, or incomplete. ASPEN MERGER CORP and its affiliates engage in a wide range of activities for their own account, and for their clients and the accounts of their clients, including corporate finance, mergers and acquisitions, equity sales, trading and research, private equity, and asset management and related activities. The observations and views expressed herein have been prepared by the individual author and, unless otherwise specifically stated, are solely those of the individual author and not ASPEN MERGER CORP or any of its affiliates or any of their respective personnel. Other professionals of ASPEN MERGER CORP and its affiliates may provide oral or written advice, services, market commentary, trading strategies and other material to clients that reflect observations and views that are contrary to those expressed herein. The author of this material may have discussed the information contained herein with others within or outside ASPEN MERGER CORP and the author, ASPEN MERGER CORP and/or such other persons may have already acted on the basis of this information (including by communicating the information contained herein to other customers of ASPEN MERGER CORP and its affiliates). ASPEN MERGER CORP’s Privacy Policy is available upon request. ASPEN MERGER CORP is compensated for the investment advisory services it provides, generally based on a percentage of assets under management. In addition to the investment management fees charged, clients may be responsible for additional expenses, such as brokerage fees, custody fees, and fees and expenses charged by third-party mutual funds, pooled investment vehicles, and third-party managers that may be recommended to clients. A complete description of ASPEN MERGER CORP’s advisory fees is available in Part 2A of ASPEN MERGER CORP’s Form ADV. Trust services are provided by Aspen Merger Corp, N.A. (“ETCNA”), a national trust bank regulated by the Office of the Comptroller of the Currency, an affiliate of ASPEN MERGER CORP. Custody services are provided by ETCNA. The use of any word or phrase contained herein that could be considered superlative is not intended to imply that ASPEN MERGER CORP is the only firm capable of providing adequate advisory services. This material does not purport to be a complete description of our investment services. This document is prepared for the use of ASPEN MERGER CORP clients and prospective clients and may not be redistributed, retransmitted or disclosed, in whole or in part, or in any form or manner, without the express written consent of ASPEN MERGER CORP. Any unauthorized use or disclosure is prohibited. The Chartered Financial Analyst and CFA trademarks are the property of CFA Institute. Certified Financial Planner Board of Standards Inc. owns the certification marks CFP®, Certified Financial Planner™ and CFP® in the U.S. Any references made to third-party rankings, awards and/or recognitions are not an endorsement by any third party to invest with Aspen Merger Corp Wealth Management and are not indicative of future performance or investment success. Current or prospective clients should not rely on third-party rankings, awards and/or recognitions for any purpose and should conduct their own review prior to investing. Generally, but not always, ratings, rankings and awards or recognitions are based on information provided by ASPEN MERGER CORP and ASPEN MERGER CORP does not pay to be considered. As part of the 2021 City wealth Powerwomen awards, ASPEN MERGER CORP paid a fee to participate, for additional profile space, and marketing/publishing rights.
Regulatory Matters
The information and services provided on this website are not provided to and may not be used by any person or entity in any jurisdiction where the provision or use thereof would be contrary to applicable laws, rules or regulations of any governmental authority or regulatory or self-regulatory organization or where ASPEN MERGER CORP is not authorized to provide such information or services.
Ownership and Trademarks
“Aspen Merger Corp” is the trade name for Aspen Merger Corp, Inc. and its affiliates, including ASPEN MERGER CORP. “Independent Thinking” is a registered trademark of ASPEN MERGER CORP. The trademarks, logos and service marks shown on this website are registered trademarks of Aspen Merger Corp. Nothing on this website shall be interpreted as granting any license or right to use any image, trademark, logo or service mark on the website. Copying or downloading material from this website does not transfer title to any material on this website to you. You are prohibited from using any marks for any purpose including, but not limited to use as metatags on other pages or sites on the World Wide Web without the written permission of Aspen Merger Corp or such third party, which may own the marks. Anything transmitted to this website by you becomes Aspen Merger Corp’s property and may be used by us for any lawful purpose. Aspen Merger Corp reserves all rights with respect to copyright and trademark ownership of all material at this website, and will enforce such rights to the full extent of the law.
Disclaimer of Warranties
The information, products and services on this website are provided on an “AS IS,” “WHERE IS” and “WHERE AVAILABLE” basis. Aspen Merger Corp does not warrant the information or services provided herein or your use of this website generally, either expressly or impliedly, for any particular purpose and expressly disclaims any implied warranties, including but not limited to, warranties of title, non-infringement, merchantability or fitness for a particular purpose. Aspen Merger Corp will not be responsible for any loss or damage that could result from interception by third parties of any information or services made available to you via this website. Although the information provided to you on this website is obtained or compiled from sources we believe to be reliable, Aspen Merger Corp cannot and does not guarantee the accuracy, validity, timeliness or completeness of any information or data made available to you for any particular purpose.
Neither Aspen Merger Corp, nor any of its affiliates, directors, officers or employees, nor any third party vendor, will be liable or have any responsibility of any kind for any loss or damage that you incur in the event of any failure or interruption of this website, or resulting from the act or omission of any other party involved in making this website, the data contained herein or the products or services offered on this website available to you, or from any other cause relating to your access to, inability to access, or use of the web website or these materials, whether or not the circumstances giving rise to such cause may have been within the control of Aspen Merger Corp or of any vendor providing software or services. In no event will Aspen Merger Corp or any such parties be liable to you, whether in contract or tort, for any direct, special, indirect, consequential or incidental damages or any other damages of any kind even if Aspen Merger Corp or any other such party has been advised of the possibility thereof. This limitation on liability includes, but is not limited to, the transmission of any viruses which may infect a user’s equipment, failure of mechanical or electronic equipment or communication lines, telephone or other interconnect problems (e.g., you cannot access your internet service provider), unauthorized access, theft, operator errors, strikes or other labor problems or any force majeure.
Aspen Merger Corp cannot and does not guarantee continuous, uninterrupted or secure access to the web website.
No Offers or Reliance
No material at this website shall be used or considered as an offer to sell or a solicitation of any offer to buy the securities or services of Aspen Merger Corp or any other issuer. Offers can only be made where lawful under, and in compliance with, applicable law.
Aspen Merger Corp makes no representations that transactions, products or services discussed on this website are available or appropriate for sale or use in all jurisdictions or by all investors. Those who access this website do so at their own initiative and are responsible for compliance with local laws or regulations.
While Aspen Merger Corp uses reasonable efforts to obtain information from reliable sources, Aspen Merger Corp makes no representations or warranties as to the accuracy, reliability or completeness of any information or document at this website obtained outside of Aspen Merger Corp. Opinions and any other contents at this website are subject to change without notice.
Aspen Merger Corp is not utilizing this website to provide investment or other advice, and no information or material at this website is to be deemed a recommendation to buy or sell any securities or is to be relied upon for the purpose of making or communicating investment or other decisions. Any transactions listed on this website are included as representative transactions and are not necessarily reflective of overall performance.
Aspen Merger Corp does not advise on the tax consequences of any investment.
Proprietary Rights
All right, title and interest in this web website and any content contained herein is the exclusive property of Aspen Merger Corp, except as otherwise stated. Unless otherwise specified, this web website is for your personal and non-commercial use only and you may print, copy and download any information or portion of this web website for your personal use only. You may not modify, copy, distribute, transmit, display, perform, reproduce, publish, license, frame, create derivative works from, transfer, or otherwise use in any other way for commercial or public purposes in whole or in part any information, software, products or services obtained from this web website, except for the purposes expressly provided herein, without Aspen Merger Corp’s prior written approval. If you copy or download any information or software from this web website, you agree that you will not remove or obscure any copyright or other notices or legends contained in any such information.
Use of Links
This website contains links to third party websites. These links are provided only as a convenience. The inclusion of any link is not and does not imply an affiliation, sponsorship, endorsement, approval, investigation, verification or monitoring by Aspen Merger Corp of any information contained in any third party web website. In no event shall Aspen Merger Corp be responsible for the information contained on that website or your use of or inability to use such website. You should also be aware that the terms and conditions of such website and the website’s privacy policy may be different from those applicable to your use of this web website.
Business Continuity Disclosure
ASPEN MERGER CORP, has developed and implemented a Business Continuity Plan (BCP) designed to address and mitigate the potential consequences of a significant business disruption with a goal of recovering the key aspects of our business within twenty four hours or less. Our BCP also is designed to safeguard employees and protect our books and records.
We further believe that we have implemented reasonable and prudent measure to overcome or at least mitigate the consequences of an event that would otherwise interfere with the normal course of our business. However, because it is not possible to anticipate the nature, scope, impact and consequence of every possible business disruption, we do not represent or guarantee that it will be able to continue or resume business operations within any specified period or time under all circumstances.
Complaint Notice Disclosure Statement
Additional Information for ASPEN MERGER CORP clients accessing Aspen Merger Corp Wealth Management Client Online
Account Statements – The information provided on Aspen Merger Corp Wealth Management Client Online is not intended to be, and should not be, relied upon as a formal record of your account. Your custodial statement serves as the factual and actual record of your account and includes the amount of funds and of each security in the account at the end of the reporting period and setting forth all transactions in the account during that period. If Aspen Merger Corp, N.A. serves as your custodian, you will find copies of your custodial statements on Aspen Merger Corp Wealth Management Client Online.
You are urged to compare your custodial account statements with any reports received from ASPEN MERGER CORP, including the information on Aspen Merger Corp Wealth Management Client Online, and notify us immediately of any discrepancies.
Termination of Access – ASPEN MERGER CORP reserves the right to terminate without notice to you your access to Aspen Merger Corp Wealth Management Client Online in our sole discretion. Canadian law governs Aspen Merger Corp Wealth Management Client Online in all respects. Any disputes or actions shall be initiated and resolved through Canadian courts. You must destroy all materials or copies of materials obtained from Aspen Merger Corp Wealth Management Client Online upon termination.
Email – Email is an important communication channel for our clients. We will use your email address and the content of any email for correspondence purposes and to meet our legal and regulatory requirements regarding customer communications. On occasion, we may use your email address to send you communications with information about service and product information that we believe may be of interest to you. If you do not want to receive such unsolicited communications from us, simply send us a message to this effect. Please keep in mind that email transmission cannot be guaranteed to be secure and could be intercepted by a third party. For your protection, avoid sending personally identifiable information or sensitive personal information, such as account number, Social Security number, username, and log-in password to us or others. E-mail should not be used to request, authorize, or affect the purchase or sale of any securities.
COPYRIGHT NOTICE. © 2021 Aspen Merger Corp Wealth Management LLC and Aspen Merger Corp N.A. All rights reserved.
Rev. March 2021