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RGL ClaimPoint

Potential Claims v. Hargreaves Lansdown Asset Management

Investor 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 “yes” or “no” responses. You should have to hand information on the dates and amounts you invested, and any dividends you 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.

If your investment was not made through Hargreaves Lansdown, please use the n/a option when responding to questions which relate specifically to HL.

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.

Please also note that based on the answers you provide, you may not be presented with all numbered questions.

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, then it is unlikely that we will 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

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 number of units purchased and/or the 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, how many units did you sell in total, and/or what proceeds did you receive in total from the sale(s)?
4. As at the suspension of the WEIF on 3 June 2019, how many units did you hold in the WEIF?
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? *
8. If “yes” to both Q.6 and Q.7,
8. If “yes” to both Q.6 and Q.7, as at 3 June 2019 what was the split of the cumulative total investment amount in the WEIF between Class Z units and other WEIF units?
For values, please enter whole £s amount
For values, please enter whole £s amount
9. Did you invest in the WEIF using a stockbroker or platform other than HL? *
10. If “yes” to Q.9,
10. If “yes” to Q.9 , as at the suspension of the WEIF on 3 June 2019, what was the split of your investment between HL and non-HL platforms. Please enter number of units and/or value.
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: *
13. Did you also invest, whether through HL, a stockbroker or another platform, in funds other than the WEIF? *
14. If “yes” to Q.13,
15. If “yes” to Q.13,
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: *
29. To the extent you initially invested in the WEIF via a non-HL platform and/or increased your investment in the WEIF via a non-HL platform between 1 November 2017 and 3 June 2019, did you do so relying on the inclusion of the WEIF in HL’s Wealth 150/50? *
30. If yes to Q.29,
30. If yes to Q.29, what was the extent of this reliance: *
31. To the extent you reduced your investment in the WEIF between 1 November 2017 and 3 June 2019:
a. Had you made your original investment via a non-HL platform? *
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,
35. If yes to Q.34, what dividends did you receive and when? (including any dividends re-invested)

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

For values, please enter whole £s
Dividend value not known
plus1 Add Another Dividend minus1 Remove
36. Did you receive any of the wind-up payments made in January 2020, March 2020, August 2020 or December 2020?
If Yes, please enter the amounts received below:
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,
39. Please confirm that you would consider being part of legal proceedings to recover your losses in respect of the WEIF, where you would not have to pay any costs and where you would be indemnified against the risk of losing the action, but where you would have to give up 25% including VAT and all costs, fees, expenses and disbursements, of any recovered amounts on success, i.e. a “no win, no fee” legal action where if you don’t win, you don’t pay anything to anybody? (By entering Yes, you are not making a commitment) *
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