See how to guide: 13G – US Disclosure Filing Procedure

(1) Is the “Amendment No.” correct? NB. This should be the next number in the sequence from the previous disclosure. If this is the first disclosure, this should be blank.

(2) Is the issuer name is correctly spelt?

(3) Is the title of class of securities correct?

(4) Have you checked the CUSIP? NB. If the ordinary share do not have a CUSIP you will have to provide a note stating “**The Ordinary Shares have no CUSIP number. The CUSIP number of the American Depositary Shares (“ADS”) is 03217L106.” – See Amryt disclosure as an example.

(5) Is Rule 13d-1(b) checked?

(6) Has the below CUSIP No. been populated? Is it the correct CUSIP?

(7) Is the client names correct in box 1?

(8) Is (b) checked?

(9) Has the investors location been populated correctly?

(10) Has the investors quantity held been populated correctly?

(11) Has the Sole v Shared quantities been populated correctly?

(12) Is the aggregate amount correct as per the holdings file received?

(13) Has the percentage held been checked? Does the client hold convertibles, convertivle within 60 days? If yes – has the denominator been adjusted and in turn does the % account for this adjustment?

(14) For the footnote, has the latest announcement to validate the denominator been used – e.g the latest 10-Q or 10-K.

(15) Is the issuer name and address correct? Use the data available on EDGAR to review.

(16) Have you check Item 2 to ensure all the data is correct, included:

a. Client Name
b. Share class
c. Issuer Name
d. Address of Client
e. Title and class of securities
f. CUSIP No.

(17) Have you checked that Item 3 is correct?

(18) Does Item 4 match what has been provided in the table?

(19) If the client is closing out a position or dropping below 5%, has the following been ticked?

(20) Has the clients name been entered into item 10?

(21) Has the date been entered correctly as per the reporting deadline – e.g 10 days after month end or 45 days after year end for 13G.