About O’Shares – O’Shares ETFs

About O’Shares | Investment Principles

O’Shares Investments provides ETFs for long-term wealth management, with an emphasis on quality across our family of ETFs. O’Shares provides a series of ETFs, designed for investors with objectives ranging from growth and capital appreciation, to income and wealth preservation. Each of the O’Shares ETFs reflects our rules-based investment philosophy, including quality as an important characteristic.

At O’Shares, we prefer the ETF form of investment fund for cost-effective, tax-efficient, and transparent access to investment portfolios. At O’Shares, we aim to serve investors by keeping investing simple, straightforward and easy to understand.

O’Shares ETFs are all managed according to rules-based indexes, and all are listed on the NYSE.

Leadership

KEVIN O’LEARY, CHAIRMAN

You know me from ABC’s Shark Tank and CNBC as an investor who demands performance, limited risk and cash returns on each investment. O’Shares has created the first in a series of innovative ETFs with my investment philosophies in mind.

Anyone who has seen me on ABC “Shark Tank” knows that I am a disciplined investor, who also wants to see entrepreneurs and other investors succeed. When I invest for the long term, I focus on my three core investment requirements:

Income, which means investing in companies that generate cash flow and pay dividends;
Wealth Preservation, protecting investment capital by diversifying and limiting volatility;
Capital Appreciation, investing in quality companies with strong financial performance.

At O’Shares, our goal is to provide investors efficient access to investment funds that are focused on these core investment requirements. We developed O’Shares Investments ETFs because we were challenged to find any other ETF or strategy that attempted to provide all three core investment principles: income, wealth preservation and capital appreciation. Currently there are approximately 1700 ETFs and we identified about 50 that focus on one or two of these investment principles, but not all three. Our team worked with global index partner FTSE Russell, who created innovative rules based indices on a global basis (US, Europe and Asia Pacific) that reflect our requirements: income, wealth preservation and capital appreciation. We are proud to introduce our family of ETFs starting with OUSA, now listed on the New York Stock Exchange. I created the OUSA ETF for my family’s long term investment objectives because I always want to own a diversified portfolio of high quality U.S. stocks that have low volatility and pay dividends.

CONNOR O’BRIEN, CEO/PRESIDENT

“As CEO / President of O’Shares and a value yield investment manager, our goal is to remain true to our core investment principles: Income, Wealth Preservation and Capital Appreciation; and provide individual and institutional investors with a series of ETFs designed to be core long-term investment holdings. Combining a rules-based approach with several investment factors, we created innovative multi-factor “Smart Beta” investment products that meet our criteria and attempt to provide attractive performance and limited volatility with an emphasis on income.”

Mr. O’Brien is President and Chief Investment Officer of Stanton. Mr. O’Brien has extensive global investment experience encompassing over 25 years of involvement in the Canadian, U.S. and international markets. His career includes 15 years in New York, first in mergers and acquisitions and capital markets at Lehman Brothers and Merrill Lynch, and then in private equity management, followed by management of portfolios invested in Canadian and global securities. Mr. O’Brien is a graduate of Dartmouth College (MBA) and Middlebury College (BA in Physics and Economics).

Before you invest in O’Shares ETF Investments funds, please refer to the prospectus for important information about the investment objectives, risks, charges and expenses. To obtain a prospectus containing this and other important information, please visit www.oshares.com to view or download a prospectus online. Read the prospectus carefully before you invest. There are risks involved with investing including the possible loss of principal.

Concentration in a particular industry or sector will subject the Funds to loss due to adverse occurrences that may affect that industry or sector. The funds may use derivatives which may involve risks different from, or greater than, those associated with more traditional investments. The funds' emphasis on dividend-paying stocks involves the risk that such stocks may fall out of favor with investors and underperform the market. Also, a company may reduce or eliminate its dividend after the Fund's purchase of such a company's securities. Returns on investments in foreign securities could be more volatile than, or trail the returns on, investments in U.S. securities. Exposures to foreign securities entail special risks, including political, diplomatic, economic, foreign market and trading risks. In addition, unless perfectly hedged, the Fund’s investments in securities denominated in other currencies could decline due to changes in local currency relative to the value of the U.S. dollar, which may affect the Fund’s returns. The funds' hedging strategies may not be successful, and even if they are successful, the funds' exposure to foreign currency fluctuations is not expected to be fully hedged at all times. See the prospectus for specific risks regarding the Fund.
The securities of small capitalization companies are often more volatile and less liquid than the stocks of larger companies and may be more affected than other types of securities during market downturns. Compared to larger companies, small capitalization companies may have a shorter history of operations, and may have limited product lines, markets or financial resources.
Companies involved with the Internet, technology and e-commerce are exposed to risks associated with rapid advances in technology, obsolescence of current products and services, the finite life of patents and the constant threat of global competition and substitutes.
Past performance does not guarantee future results. Shares are bought and sold at market price (not NAV), are not individually redeemable, and owners of the Shares may acquire those Shares from the Funds and tender those shares for redemption to the Funds in Creation Unit aggregations only, consisting of 50,000 Shares. Brokerage commissions will reduce returns. Shares are not individually redeemable and can be redeemed only in Creation Units. The market price of shares can be at, below or above the NAV. Brokerage commissions will reduce returns. Market Price returns are based upon the midpoint of the bid/ask spread at 4:00 PM Eastern time (when NAV is normally determined), and do not represent the returns you would receive if you traded shares at other times.
O’Shares ETF Investments funds are distributed by Foreside Fund Services, LLC. Foreside Fund Services, LLC is not affiliated with O’Shares ETF Investments or any of its affiliates.