ROCKPOOL INVESTS IN PROFITABLE, ESTABLISHED COMPANIES IN THE UK

Thank you. To access Rockpool opportunities you will need to agree to the declaration below. Please read it carefully. It does not commit you to invest or pay any money.

I declare that I am a self-certified sophisticated investor for the purposes of the Financial Services and Markets Act (Financial Promotion) Order 2005 because at least one of the following applies:

1. I am a member of a network or syndicate of business angels and have been so for at least the last six months prior to registering with Rockpool;
2. I have made more than one investment in an unlisted company in the two years prior to registering with Rockpool;
3. I am working, or have worked in the two years prior to registering with Rockpool, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises;
4. I am currently, or have been in the two years prior to registering with Rockpool, a director of a company with an annual turnover of at least £1 million.

I understand that this means:

1. I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
2. the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;

I understand that by making this declaration I may lose significant rights:

1. I may have no right to complain to either of the Financial Conduct Authority or the Financial Ombudsman Scheme;
2. I may have no right to seek compensation from the Financial Services Compensation Scheme.

I accept that I can lose the money I invest by making investment decisions based on financial promotions. I am aware that it is open to me to seek advice from someone who specialises in advising on investments.

I understand that Rockpool will store my personal information and will send me details of investments and other relevant information. My personal information will be protected in line with Rockpool’s privacy policy. I accept that information relating to investment opportunities will be provided to me on a strictly confidential basis and I undertake not to disclose such information to any person without prior written permission from Rockpool.

Rockpool will hold and process your data in order to fulfil our legitimate interest in serving you and communicating with you and in complying with regulatory and legal requirements. For details of how and why we process your data and details of how to exercise your rights, please visit Rockpool’s Privacy Policy.

Sorry, you have not ticked all the boxes. Please go back and review your answers to show your understanding of the risks.

Thank you. To access Rockpool opportunities you will need to agree to the declaration below. Please read it carefully. It does not commit you to invest or pay any money.

I declare that I am a certified high net worth individual because at least one of the following applies:

1. I had, during the financial year immediately preceding my registration with Rockpool, an annual income to the value of £100,000 or more;
2. I held, throughout the financial year immediately preceding my registration with Rockpool, net assets to the value of £250,000 or more. Net assets for these purposes do not include:
1. the property which is my primary residence or any loan secured on that residence;
2. any rights of mine under a qualifying contract of insurance within the meaning of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001; or
3. any benefits (in the form of pensions or otherwise) which are payable on the termination of my service or on my death or retirement and to which I am (or my dependents are), or may be, entitled.

I understand that this means:

1. I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
2. the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;

I understand that by making this declaration I may lose significant rights:

1. I may have no right to complain to either of the Financial Conduct Authority or the Financial Ombudsman Scheme
2. I may have no right to seek compensation from the Financial Services Compensation Scheme.

I accept that I can lose the money I invest by making investment decisions based on financial promotions. I am aware that it is open to me to seek advice from someone who specialises in advising on investments. I confirm that I have the necessary knowledge and experience to make my own decisions in relation to investments in unquoted smaller companies.

I understand that Rockpool will store my personal information and will send me details of investments and other relevant information. My personal information will be protected in line with Rockpool’s privacy policy. I accept that information relating to investment opportunities will be provided to me on a strictly confidential basis and I undertake not to disclose such information to any person without prior written permission from Rockpool

Rockpool will hold and process your data in order to fulfil our legitimate interest in serving you and communicating with you and in complying with regulatory and legal requirements. For details of how and why we process your data and details of how to exercise your rights, please visit Rockpool’s Privacy Policy.

Thank you. To access Rockpool opportunities you will need to agree to the declaration below. Please read it carefully. It does not commit you to invest or pay any money.

I declare that for the purposes of the Financial Services and Markets Act (Financial Promotion) Order 2005 because at least one of the following applies:

1. I am a director or employee of a company with net assets of at least £5m
2. a director or employee of a company with net assets of at least at least £500,000 and the company has more than 20 shareholders
3. a trustee of a trust with assets of £10m or more

I understand that this means:

1. I can receive financial promotions that may not have been approved by a person authorised by the Financial Conduct Authority;
2. the content of such financial promotions may not conform to rules issued by the Financial Conduct Authority;

I understand that by making this declaration I may lose significant rights:

1. I may have no right to complain to either the Financial Conduct Authority or the Financial Ombudsman Scheme;
2. I may have no right to seek compensation from the Financial Services Compensation Scheme.

I accept that I can lose the money I invest by making investment decisions based on financial promotions. I am aware that it is open to me to seek advice from someone who specialises in advising on investments.

I understand that Rockpool will store my personal information and will send me details of investments and other relevant information. My personal information will be protected in line with Rockpool’s privacy policy. I accept that information relating to investment opportunities will be provided to me on a strictly confidential basis and I undertake not to disclose such information to any person without prior written permission from Rockpool.

Rockpool will hold and process your data in order to fulfil our legitimate interest in serving you and communicating with you and in complying with regulatory and legal requirements. For details of how and why we process your data and details of how to exercise your rights, please visit Rockpool’s Privacy Policy.

Thank you. To access Rockpool opportunities you will need to agree to the declaration below. Please read it carefully. It does not commit you to invest or pay any money.

• I undertake not to invest personally in any investment opportunity promoted by Rockpool unless I have provided a separate declaration in a form satisfactory to Rockpool that I am eligible to make such investments.
• I accept that information relating to investment opportunities will be provided to me on a strictly confidential basis and I undertake not to disclose such information to any person without prior written permission from Rockpool.
• I understand that Rockpool will store my personal information and will send me details of investments and other relevant information. My personal information will be protected in line with Rockpool’s privacy policy.

Rockpool will hold and process your data in order to fulfil our legitimate interest in serving you and communicating with you and in complying with regulatory and legal requirements. For details of how and why we process your data and details of how to exercise your rights, please visit Rockpool’s Privacy Policy.