Form Tr-1 - Standard Form For Notification Of Major Holdings (Page 3 of 5) in pdf

Form Tr-1 - Standard Form For Notification Of Major Holdings Page 3

9. Information in relation to the person subject to the notification obligation (please mark the

applicable box with an “X”)

Person subject to the notification obligation is not controlled by any natural person or legal entity and does not

xiii

control any other undertaking(s) holding directly or indirectly an interest in the (underlying) issuer

Full chain of controlled undertakings through which the voting rights and/or the

xiv

financial instruments are effectively held starting with the ultimate controlling natural person or legal entity

(please add additional rows as necessary)

% of voting rights

% of voting rights if it

Total of both if it

through financial in-

equals or is higher

Name

struments if it equals

than the notifiable

or is higher than the

threshold

notifiable threshold

Canaccord Genuity

20.4711%

Group Inc.

Canaccord Genuity

20.4711%

Wealth Group Holdings

Limited

Canaccord Genuity

20.4711%

Wealth Group Holdings

(Jersey) Limited

20.4711%

Hargreave Hale Limited

Each company set out in this table is ultimately controlled by Canaccord Genuity Group Inc.

10. In case of proxy voting, please identify:

Name of the proxy holder

The number and % of voting rights held

The date until which the voting rights will be held

11. Additional information

xvi

This disclosable event is as a result of the acquisition of Hargreave Hale Limited by Canaccord Genuity

Group Inc., through its wholly-owned subsidiary Canaccord Genuity Wealth Group Holdings (Jersey) Lim-

ited.

Form Tr-1 - Standard Form For Notification Of Major Holdings Page 3