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RGL ClaimPoint

Potential Claims v. Hargreaves Lansdown Asset Management

Investor’s Concise Questionnaire

Private & Confidential and Subject to Legal Privilege

RGL is collecting this data so that we and the legal team can assess the best way to progress the intended legal action against Hargreaves Lansdown Asset Management (HL). To this end, please note that we may share your data, in confidence, with our professional advisors.

Please take time to consider and answer each question presented to you as accurately and fully as possible, as this will form the basis of the analysis of your potential claim.

Many of the questions require straightforward multiple-choice responses. Completion of the Concise Questionnaire should not take long, but it will assist to have to hand information relating to the amounts of the investment(s), and any wind-up payment(s) received.

The responses provided should be for the person in whose name the investment is/was held. If your spouse, partner, or other family member held an investment in their own name, then their details should be provided on a separate questionnaire, not on the same one as your information.

Please note: This questionnaire needs to be completed in one sitting; it cannot be saved part way through for completion at a later date. However, while completing it, you can go back to correct or add to previous sections. You may wish to glance through the questions in advance in order to understand what is required.

This Concise Questionnaire is a condensed version of the Comprehensive Questionnaire which you did not complete. Do not be concerned that you do not see all question numbers on this condensed version.

Compulsory questions are denoted by a red asterisk (*) questions without the red asterisk are non-compulsory.

When you reach the end, it is essential that you click the button which reads ”Submit”, and tick the “Catchpa box” that will appear to prove the answers have not been provided by automated SPAM software. By return, you will be sent an automated confirmation email showing the responses you have provided.

It is essential that you complete the questionnaire in order for the legal team to assess your potential claim. If you do not complete the questionnaire, we will not be able to advance a potential claim on your behalf.

Please ensure that you do not destroy any documentation or records relating to your dealings with HL or your investments in the LF Woodford Equity Income Fund (WEIF), including emails, text messages and any handwritten notes you may have made, as at some later stage these will need to be reviewed by the legal team in consideration of what may or may not be relevant evidence.

Due to the potential for this information to result in Court proceedings, we recommend that you do not make any comments on social media about the specifics of your potential case, or make any general derogatory comments about Hargreaves Lansdown, or Link, or the LF Woodford Equity Income Fund (WEIF).

Woodford Questionnaire Concise

About You

Your postal address for correspondence:
DOB format DD/MM/YYYY - example: 21/02/1965

About your investment(s) in the LF Woodford Equity Income Fund (WEIF)

Please confirm which of the following your investment in the WEIF comprised. (Please select one)
1. How would you describe yourself as an investor in equities/funds: *
2. Did you invest in the WEIF? *

3. From the date of your first investment in the WEIF, until 3 June 2019, what was the total of all investments made in the WEIF. Please enter the total amount invested?

3. OLD - On what date(s) did you invest, and what amounts did you invest on these dates? (For values, please enter numbers only)

3a. If you sold any of your investment prior to 3 June 2019, what proceeds did you receive in total from the sale(s)?

5. Did you invest in the WEIF via a Hargreaves Lansdown (HL) account? *
6. Did you hold Class Z units in the WEIF? *
7. Did you own units in the HL Multi Manager range that owned units in other funds that had an underlying exposure to the WEIF? *
9. Did you invest in the WEIF using a stockbroker or platform other than HL? *
11. Did you invest in the WEIF via: *
12. In regard to the HL Wealth 150/50 list and the information about it on the HL platform (“HL’s Wealth 150/50”), which most accurately describes you: *
16. Did you consider that HL’s Wealth 150/50 was the product of significant specialist research and in-depth analysis? yes/no/not applicable *
17. Did you consider that HL would, via HL’s Wealth 150/50, provide accurate, adequate and up to date information about WEIF? *
18. Did you consider that HL would, via HL’s Wealth 150/50, communicate its views of those funds it believed to be the best across the main investment sectors? *
19. Did you consider that HL would frequently review HL’s Wealth 150/50 against strict criteria and update it to ensure it included only those funds that delivered consistent outperformance? *
20. Did you consider that HL’s Wealth 150/50 was part of the investment services provided by HL to its clients? *
21. Did you believe that HL, via HL’s Wealth 150/50, offered: *
22. Did you rely on the inclusion of WEIF in HL’s Wealth 150/50 when initially deciding to invest in the WEIF? *
23. If yes to Q.22,
23. If yes to Q.22, what was the extent of this reliance: *
24. From the date of your initial investment in the WEIF, did you rely on the WEIF continuing to be included in HL’s Wealth 150/50 when deciding to maintain or increase your investment in the WEIF? *
25. If yes to Q.24,
25. If yes to Q.24, what was the extent of this reliance: *
26. If the WEIF had been removed from HL’s Wealth 150/50 before 3 June 2019, would you have: *
27. In regard to the periodic HL updates concerning the WEIF, which most accurately describes you: *
28. If you invested in the WEIF via a non-HL platform, between 1 November 2017 and 3 June 2019, did you: *
31. To the extent you reduced your investment in the WEIF between 1 November 2017 and 3 June 2019:
b. Had you made your original investment via a HL platform? *
32. Did you monitor news regarding the WEIF pre-3 June 2019 from other non-HL sources?
33. If yes to Q.32,
34. Did you receive any dividends on your investment in the WEIF? *

35. If yes to Q.34, what dividends did you receive and when? (including any dividends re-invested)

36. Did you receive any of the wind-up payments made in January 2020, March 2020, August 2020, December 2020 or November 2022?
37. To the extent you would have reduced your investment in the WEIF had it been removed from the HL Wealth 150/50 before 3 June 2019, would you have made alternative investments? *
38. If “yes” to Q.37,
40. Would you be prepared to be involved in RGL’s publicity about a potential group action? *
41. Have you previously joined another firm’s group action against Link Fund Solutions (eg Leigh Day or Harcus Parker)?
If "yes", to Q41 which one:
42. Have you ever filed a complaint with the Financial Ombudsman Service (FOS) in relation to the WEIF?

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RGL Management Limited is authorised and regulated as a claims management company by the Financial Conduct Authority,
in respect of regulated claims management activity.

Registration number: FRN 833132, recorded on https://www.fca.org.uk
RGL Management Limited is registered in England and Wales,
company registration number: 10001048
Registered address: 29 Lincoln’s Inn Fields, London WC2A 3EG