Brompton Group

 

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Investment Objectives

To seek to achieve capital appreciation and to provide tax benefits for the limited partners by investing in a portfolio of flow-through shares of resource companies primarily engaged in the oil and gas and mining sectors.

Investment Strategies

The Fund will seek to achieve its investment objective by investing in resource companies with the following attributes:

  • Experienced and Capable Senior Management – strong management team with a clear, concise and logical business plan
  • Strong Prospective Exploration or Development Programs – prospective plan should contribute to resource and/or cash flow growth
  • Rewarding Return Potential – resource company must demonstrate a potential for returns to compensate for risks
  • Relative Value – resource company must represent reasonable value relative to their peer group with quality assets

Investment Guidelines

  • At least 50% of the available funds will be invested in resource companies with a market capitalization in excess of $50 million;
  • At least 80% of the available funds will be invested in resource companies that are listed on a stock exchange and at least 25% of the available funds will be invested in resource companies that are listed on the TSX;
  • Not more than 20% of the available funds will be invested in any one resource company;
  • Not own more than 10% of any class of equity or voting securities of any resource issuer for the purpose of exercising control or management over such resource issuer;
  • Not more than 20% of the available funds will be invested in resource companies that are related issuers
  • Not more than 20% of available funds will be invested in flow-through shares of resource companies whose securities are not publicly traded

Mutual Fund Rollover

Prior to May 31, 2019 the Fund expects to roll over its assets on a tax-deferred basis to the Brompton Resource Fund or another Brompton mutual fund advised by the Manager and Portfolio Manager.

CUSIP

11222K104

Inception Date

Mar 06, 2017

Manager

Brompton Funds Limited

Portfolio Manager

Laura Lau and Mike Clare

Fees

Management fee of 2.0% of average net asset value calculated and paid monthly.

Performance Bonus

20% of net asset value in excess of $28.00 per unit.

Fair Investor Terms

Strong corporate governance

Commitment to overall cost containment

Eligibility

Units are not qualified investments for RRSPs, DPSPs, RRIFs, RESPs and TFSAs as Canadian property.

Mutual Fund Rollover

Prior to May 31, 2019


 
PLEASE READ AND ACCEPT THESE IMPORTANT DISCLOSURES

You will usually pay brokerage fees to your dealer if you purchase or sell units of the investment fund on the Toronto Stock Exchange or alternative Canadian trading platforms (an “exchange”). If the units are purchased or sold on an exchange, investors may pay more than the current net asset value when buying units of the investment fund and may receive less than the current net asset value when selling them.

There are ongoing fees and expenses associated with owning units of an investment fund. An investment fund must prepare disclosure documents that contain key information about the fund. You can find more detailed information about the fund in the public filings available at www.sedar.com. The indicated rates of return are the historical annual compounded total returns including changes in unit value and reinvestment of all distributions and do not take into account certain fees such as redemption costs or income taxes payable by any securityholder that would have reduced returns. Investment funds are not guaranteed, their values change frequently and past performance may not be repeated.

This communication is for information purposes only and does not constitute an offer to sell or a solicitation to buy the securities referred to herein. The opinions contained in this report are solely those of Goldman Sachs Asset Management L.P. (“GSAM”) and are subject to change without notice. GSAM makes every effort to ensure that the information has been derived from sources believed to reliable and accurate. However, GSAM assumes no responsibility for any losses or damages, whether direct or indirect which arise from the use of this information. GSAM is under no obligation to update the information contained herein. The communication should not be regarded as a substitute for the exercise of your own judgment. Please read the fund’s offering documents before investing.

Certain statements contained in this document constitute forward-looking information within the meaning of Canadian securities laws. Forward-looking information may relate to matters disclosed in this document and to other matters identified in public filings relating to the Fund, to the future outlook of the Fund and anticipated events or results and may include statements regarding the future financial performance of the Fund. In some cases, forward-looking information can be identified by terms such as “may”, “will”, “should”, “expect”, “plan”, “anticipate”, “believe”, “intend”, “estimate”, “predict”, “potential”, “continue” or other similar expressions concerning matters that are not historical facts. Actual results may vary from such forward-looking information. Investors should not place undue reliance on forward-looking statements. These forward-looking statements are made as of the date December 15, 2015 and we assume no obligation to update or revise them to reflect new events or circumstances.

Fund holdings and allocations shown are unaudited, and may not be representative of current or future investments, should not be construed and research or investment advice, and are subject to risk.

Any reference to a specific company or security does not constitute a recommendation to buy, sell, hold or directly invest in the company or its securities. It should not be assumed that investment decisions made in the future will be profitable or will equal the performance of the securities discussed in this document.

Portfolio holdings may change by the time you view this. Portfolio holdings may not be representative of future investments. The securities discussed may not represent all of the portfolio's holdings and may not be deemed representative of the strategy’s future portfolio holdings. Future portfolio holdings may not be profitable.

The portfolio risk management process includes an effort to monitor and manage risk, but does not imply low risk.

No part of this material may, without Brompton and GSAM’s prior written consent, be (i) copied, photocopied or duplicated in any form, by any means, or (ii) distributed to any person that is not an authorized recipient. This material is intended for Investment Advisor use only.

I confirm that I have read, understood, and accept the above disclosures.

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