Caldwell Growth Opportunities Trust

Wherever a functional advantage exists, the Fund will seek to capitalize on it.

The investment strategies that the Fund will use to achieve its investment objective will include:

  • Acquiring interests in memberships and seats on private securities exchanges globally
  • Acquiring the common and special shares of public and non-public securities exchanges
  • Identifying and acquiring securities of companies that appear attractive based on valuation
  • Participating in private placements by companies that have publicly traded securities
  • Purchasing securities on unlisted companies and other illiquid entities
  • Acquiring royalty interests
  • Investing in equity securities or equity-related securities including common shares and preferred shares and to a lesser extent in other kinds of securities, including units and warrants, and writing or acquiring put and call options or acquiring futures contracts and commodities
  • Investing in issuers trading at a discount due to temporary events caused by market reactions to negative news
  • Investing by way of short sale opportunities in companies with deteriorating financial conditions, negative surprises and unattractive valuations.

Portfolio Management Team

Brendan Caldwell photo
Portfolio Manager


Please refer to Regulatory Documents.