Swan Defined Risk Fund Class C Shares (SDRCX)

Overview

The company operates within the financial investment sector, primarily focusing on leveraging the performance and stability of the S&P 500 Index to meet its investment objectives. It employs a strategy that includes direct investment in equity securities represented in the S&P 500 Index and indirect investment through exchange-traded funds (ETFs). To manage risk and enhance returns, the fund incorporates hedging tactics by investing in long-term put options on the S&P 500 Index, in addition to engaging in buying and selling exchange-traded put and call options on various equity indices. This approach is aimed at generating additional returns for investors while attempting to protect the portfolio from market downturns.

Products and Services

The company offers a diversified portfolio of products and services aimed at achieving the investment objectives of its clients through strategies focused on the S&P 500 Index. These include:

• Equity Securities Investment

Direct investment in equity securities that are part of the S&P 500 Index. This forms the core of the company's investment strategy, aiming at capital growth by mirroring the performance of the S&P 500 Index to a significant extent.

• Investment Through ETFs

Indirect investment in the S&P 500 Index through exchange-traded funds. This allows for diversified exposure to the index's performance, reducing the risks associated with direct stock investments and providing a more flexible investment option for the company's clients.

• Exchange-Traded Long-Term Put Options

Investment in exchange-traded long-term put options on the S&P 500 Index for hedging purposes. These options provide a safety net against potential declines in the index, aiming to protect the investment from significant losses.

• Buying and Selling Exchange-Traded Put and Call Options

Active trading of exchange-traded put and call options on various equity indices to generate additional returns. This strategy is designed to capitalize on market trends and volatility, providing an opportunity to enhance the fund's overall performance through strategic option plays.