Terms_of_Use

PARAGON HEALTH CAPITAL

This Web site (“Site”) is owned and operated by Paragon Health Capital (“PHC”). The Terms of Use for the Site constitute a legal agreement between you and PHC (“Agreement”). PHC reserves the right to amend this Agreement at any time, without prior notice, which amendment(s) are to be fully effective upon posting on the Site.

By accessing the content and services made available on this Site (collectively “Services”), you are agreeing to be bound by all the terms and conditions of the Agreement as it appears at the time of your access. IF YOU DO NOT AGREE TO THESE TERMS OF USE YOU MAY NOT USE AND MUST EXIT FROM THIS SITE. IF YOU DO NOT HAVE AUTHORITY TO LEGALLY BIND YOUR COMPANY, OR DO NOT AGREE THAT YOUR COMPANY WILL BE BOUND BY THESE TERMS OF USE, YOU MAY NOT USE THIS SITE ON BEHALF OF YOUR COMPANY.

The Services do not Constitute Financial or Investment Advice

PLEASE BE ADVISED THAT PHC IS NOT PROVIDING FINANCIAL ADVICE, INVESTMENT ADVICE, AND/OR ANY OTHER ADVICE OF ANY KIND. YOUR USE OF THE SERVICES IS AT YOUR OWN SOLE RISK AND ANY USE OF INFORMATION OF ANY KIND, INCLUDING BUT NOT LIMITED TO FINANCIAL AND INVESTMENT INFORMATION MADE AVAILABLE AS PART OF THE SERVICES, IS AT YOUR OWN SOLE RISK.

Disclaimer of Warranties

THIS SITE IS PROVIDED ON AN “AS IS,” “AS AVAILABLE” BASIS, WITHOUT REPRESENTATIONS OR WARRANTIES OF ANY KIND. TO THE FULLEST EXTENT PERMITTED BY LAW, PHC, ITS AFFILIATES, AND THEIR RESPECTIVE LICENSORS, SERVICE PROVIDERS AND SOURCES, DISCLAIM ANY AND ALL REPRESENTATIONS AND WARRANTIES, WHETHER EXPRESS, IMPLIED, OR STATUTORY, WITH RESPECT TO THIS SITE, INCLUDING ITS CONTENT, AND ANY PRODUCTS AND SERVICES MADE AVAILABLE THROUGH THIS SITE. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING, PHC, ITS AFFILIATES, AND THEIR RESPECTIVE LICENSORS, SERVICE PROVIDERS AND SOURCES, DISCLAIM ALL REPRESENTATIONS AND WARRANTIES, EXPRESS, IMPLIED OR STATUTORY, (A) OF TITLE, NON-INFRINGEMENT, MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE; (B) ARISING FROM COURSE OF DEALING OR COURSE OF PERFORMANCE; (C) RELATING TO THE SECURITY OF THIS SITE; (D) THAT THE CONTENT OR OTHER INFORMATION ON THIS SITE IS TIMELY, CURRENT, ACCURATE, COMPLETE, RELEVANT OR RELIABLE; (E) THAT THIS SITE WILL OPERATE WITHOUT INTERRUPTION OR ERROR, AND (F) REGARDING THE RESULTS TO BE OBTAINED FROM USING THIS SITE, INCLUDING ITS CONTENT, OR PRODUCTS AND SERVICES MADE AVAILABLE THROUGH THIS SITE. YOU AND YOUR COMPANY USE THIS SITE, INCLUDING ITS CONTENT, AND THE PRODUCTS AND SERVICES AVAILABLE THROUGH THIS SITE AT YOUR OWN RISK.

APPLICABLE LAW MAY NOT ALLOW THE LIMITATION OF CERTAIN WARRANTIES, SO ALL OR PART OF THIS DISCLAIMER OF WARRANTIES MAY NOT APPLY TO YOU.

Limitations of Liability

UNDER NO CIRCUMSTANCES SHALL PHC, ITS AFFILIATES, OR THEIR RESPECTIVE LICENSORS, SERVICE PROVIDERS, OR SOURCES, OR ANY OF THEIR RESPECTIVE EMPLOYEES, DIRECTORS, OFFICERS, AND AGENTS, HAVE ANY RESPONSIBILITY OF ANY KIND OR BE LIABLE TO YOU, YOUR COMPANY, OR TO ANY THIRD PARTY FOR ANY LOSSES, LIABILITIES, DAMAGES, COSTS OR EXPENSES ARISING OUT OF OR IN CONNECTION WITH THIS SITE, INCLUDING (A) THE USE OF OR INABILITY TO USE THIS SITE (INCLUDING ANY FAILURE OF PERFORMANCE, ERROR, OMISSION, INTERRUPTION, DEFECT, DELAY IN OPERATION OR TRANSMISSION, COMPUTER VIRUS, WORM OR OTHER MALICIOUS COMPUTER CODE, OR LINE OR SYSTEM FAILURE), (B) ANY CONTENT PROVIDED THROUGH THIS SITE, OR (C) ANY PRODUCTS OR SERVICES PROVIDED THROUGH THIS SITE.

THIS IS A COMPREHENSIVE LIMITATION OF LIABILITY THAT APPLIES TO ALL LOSSES, INJURIES, CLAIMS, LIABILITIES, DAMAGES, COSTS AND EXPENSES OF ANY KIND WHATSOEVER (WHETHER DIRECT, INDIRECT, GENERAL, SPECIAL, CONSEQUENTIAL, INCIDENTAL, EXEMPLARY OR OTHERWISE, INCLUDING, WITHOUT LIMITATION, LOSS OF DATA, INCOME, SAVINGS OR PROFITS); WHETHER THE CLAIM IS IN CONTRACT, TORT (INCLUDING NEGLIGENCE) OR STRICT LIABILITY OR BASED ON ANY OTHER LEGAL THEORY; EVEN IF AN AUTHORIZED REPRESENTATIVE OF PHC, ITS AFFILIATES, OR THEIR RESPECTIVE LICENSORS, SERVICE PROVIDERS OR SOURCES, HAS BEEN ADVISED OF OR SHOULD HAVE KNOWN OF THE POSSIBILITY OF SUCH DAMAGES; AND WITHOUT REGARD TO THE EFFECTIVENESS OF OTHER REMEDIES.

APPLICABLE LAW MAY NOT ALLOW THE LIMITATION OF LIABILITY SET FORTH ABOVE, SO ALL OR PART OF THIS LIMITATION OF LIABILITY MAY NOT APPLY TO YOU.

Right to modify, shut down, or deny access to this Site

PHC reserves the right to modify the content, features, and functionality of this Site, to shut down this Site, and to limit or deny access to this Site at any time, for any reason, without prior notice, and will not be liable in any way to you, your company, or any third party for possible consequences of such actions.

Business Continuity Planning Disclosure Statement

Paragon Health Capital, LLC has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting PHC - If, after a significant business disruption you cannot contact us as you usually do, you should contact us at 312-847-1356 or via email at info@paragonhealthcap.com.

Our Business Continuity Plan - We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm's books and records, and retrieving key customer records. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our business continuity plan addresses: data backup and recovery; financial and operational assessments; alternative communications with customers, employees and regulators; alternate physical location of employees; critical service provider, bank and customer impact; and regulatory reporting.

We have retained third party service providers to ensure remote backup facilities and off-site storage for our books and records. While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption, we expect to be able to promptly retrieve our books and records. We will quickly establish alternative arrangements if a critical service provider can no longer provide the needed goods or services when we need them because of a Significant Business Disruption to them or our firm.

Varying Disruptions - Significant Business Disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business within 48 hours. In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business as soon as possible. In either situation we plan to continue in business and notify you how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will discuss alternative arrangements with you.

For more information - If you have questions about our business continuity planning, you can contact us at 312-847-1356.

Not an offer to buy or sell any financial instruments or provide any investment advice or service

Neither the information, nor any opinion, nor any other Content, as defined below, on this Site constitutes a solicitation or offer by PHC or its affiliates to buy or sell any securities, futures, options or other financial instruments or provide any investment advice or services.

Non-U.S. residents

This Site is published in the United States. It is only directed at and approved for distribution to and use by: (a) residents of the United States; and (b) residents of other countries only as allowed by the laws of the applicable jurisdiction. Financial services provided by PHC and its affiliates are available only to such persons. Other persons should not rely or act upon any such information on this Site. We reserve the right to require proof of residence from any user accessing this Site and requesting information.

Third-Party Content

Some of the information, research reports, and other materials available through this Site may be provided to PHC or its affiliates by third parties, including third-party financial reporting services. These third-party materials are provided for your interest and convenience only. PHC and its affiliates do not endorse these materials or the vendors who supply them, nor do we warrant or represent that these materials are current, accurate, complete, relevant, or reliable. It is your responsibility to evaluate the currency, accuracy, completeness, relevance, and reliability of all information obtained or provided through this Site. You use these third-party materials at your own risk.

Links to Sites Operated by Third Parties

This Site may provide links to Web sites operated by third parties. We are not responsible for examining or evaluating, and we do not endorse or warrant the information, programs, products, services, or other offerings of any of these businesses or individuals nor the currency, accuracy, completeness, relevance or reliability of the content of their Web sites. We do not assume any responsibility or liability with respect to these third-party Web sites. If you decide to use a link on this Site to access any third-party Web site, you do so at your own risk.

SIPC Disclosure

Securities and cash held by individuals in PHC accounts are protected up to their full net equity value by a combination of coverage provided by the Securities Investor Protection Corporation (SIPC), a non-profit organization created by an Act of Congress. SIPC protects up to $500,000 of your securities, of which up to $100,000 may be uninvested cash. SIPC coverage applies only to securities and cash in the exclusive possession and control of PHC and does not protect against losses due to fluctuations in the market. Additional information about SIPC and asset protection may also be found at http://www.sipc.org/.

Waiver

Our failure at any time to require performance of any provision of these Terms of Use or to exercise any right provided for herein shall not be deemed a waiver of such provision or such right. All waivers must be in writing. Unless the written waiver contains an express statement to the contrary, no waiver by PHC or one of its affiliates of any breach of any provision of these Terms of Use or of any right provided for herein shall be construed as a waiver of any continuing or succeeding breach of such provision, a waiver of the provision itself, or a waiver of any right under these Terms of Use.

Severability

If any provision of these Terms of Use is held by a court of competent jurisdiction to be contrary to law, such provision shall be changed and interpreted so as to best accomplish the objectives of the original provision to the fullest extent allowed by law and the remaining provisions of these Terms of Use shall remain in full force and effect.

Entire Agreement

These Terms of Use, (a) contain the entire understanding and agreement between you and your company (if any) and PHC and its affiliates with respect to your and your company’s use of this Site, and (b) supersede all previous communications, negotiations and agreements, whether oral, written, or electronic, between you and PHC and its affiliates with respect to this Site and your and your company’s use of this Site.

Photo Credit

FORM CRS
Paragon Health Capital, LLC (“PHC”) is a broker-dealer registered with the Securities and Exchange Commission (“SEC”). PHC is a member of the Financial Industry Regulatory Authority (“FINRA”) and of the Securities Investor Protection Corp (“SIPC”).

This document provides a summary of the services we offer and the fees we charge.
PHC raises equity and debt capital to advance life changing biotech companies from Series A to pre-IPO capital needs. PHC also provides Paragon Biosciences companies with buy-side and sell-side M&A advisory services.
Free and simple tools are available to research firms and investment professionals at Investor.gov/CRS which also provides educational materials about broker-dealers, investment advisers and investing. Brokercheck.finra.org provides information that includes disciplinary history about member firms and individual registered representatives.

What investment services and advice can you provide me?
Our investment services are offered to a limited number of accredited investors, exclusively through the sale of private placements. A private placement is an offering of securities that is exempt from registration with the SEC and may carry significant risk, which may result in the loss of some or all your investment. Risks may include the inability to sell your investment for cash, a lack of publicly available information on the company issuing the securities, and no guarantee of returns or periodic payments.
We do not offer any other investment products or services to retail investors.

What fees will I pay?
PHC is typically paid a success-based transaction advisory fee by the issuer. Because we are paid a fee, we have an incentive to encourage an investor to invest in a transaction. You may not pay a fee directly to us, but a fee may be paid to us by the issuer from the proceeds of the offering. This fee payment may cause a conflict between your interests and ours.
Fees are paid to us whether investors make or lose money on investments. Please make sure you understand what fees and costs you are paying.

What are your legal obligations to me when providing recommendations?
How else does your firm make money and what conflicts of interest do you have?
When we provide you with a recommendation, we have to act in your best interest and not put our interest ahead of yours. At the same time, the way we make money creates some conflicts with your interests. You should understand and ask us about these conflicts because they can affect the recommendations we provide you.
Here are some examples to help you understand what this means:

Our services are limited to a small number of private placement transactions. Other firms can provide a wider range of investment choices, some of which may have lower costs.
We are paid a transaction-based fee for each investment. This fee is typically a percentage of the amount of capital invested, and we therefore have an incentive for you to invest more.
We may offer you investments that contain management services fees.
We may offer you investments in affiliated or related companies.
We may offer you investments in which an affiliated or related company performs a service, such as managing or providing services to the company, or are otherwise compensated for performing services.
Registered Representatives and other employees of our firm may invest alongside you.
Affiliated or related companies may participate in the sponsorship, development, management or financing of a project or business funded by an investment we offer you.

How do our financial professionals make money?
PHC may receive a transaction-based fee from the sale of a private placement of securities or other financing transaction..
Our financial professionals are compensated with a salary and discretionary bonus and are not paid commissions or fees based upon your investments.

Do you or your financial professionals have legal or disciplinary history?
No, our firm does not have a legal or disciplinary history, nor do any of our financial professionals currently. Disclosures for our and our financial professionals can be found by going to Investor.gov/CRS.

Additional Information
You can obtain additional information about our services, request a copy of the relationship summary, or direct any other questions or concerns you may have to Kerensa Jimenez via email at kjimenez@paragonhealthcap.com or by phone at 312-847-1356.