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Investor Suitability

Due to the high risk nature of early stage private equity investments, investors will need to satisfy and certify they meet one of the investor criteria listed below to prove they are able to understand and accept the risk. Before investing, you will be required to confirm your suitability in writing.

Investments in early stage companies – whilst offering potentially higher returns and, in the case of EIS qualifying companies, a range of tax breaks – are only suitable for financially sophisticated investors who are capable of evaluating the merits and risks of such an investment and who have sufficient resources to be able to bear any losses that may arise. Such losses may be equal to the whole amount invested. No representation is or can be made as to the performance of the investment and there can be no assurance that the Company will achieve its objectives. Sentient Capital conducts prior due diligence on all companies and verifies the content of all financial promotions under Section 21 of the Financial Services and Markets Act 2000 (‘FSMA’). We also list what we believe are the most significant risk factors in the main financial promotion document, but these may not necessarily comprise all those associated with the investment as changes in market or economic conditions or in legal, regulatory or tax requirements may be unforeseen and adversely impact the company.

Sentient Capital acts on behalf of the corporate client and provides introductions to suitable investors both private and institutional. It does not provide advice to the prospective investor.

Statement for a High Net Worth individual

I make this statement so that I can receive promotional communications which are exempt from the restriction on promotion of non-readily realisable investments. The exemption relates to certified high net worth investors and I declare that I qualify as such because at least one of the following applies to me:

  • I had, throughout the financial year immediately preceding the date below, an annual income to the value of £100,000 or more . Annual income for these purposes does not include money withdrawn from my pension savings (except where the withdrawals are used directly for income in retirement).
  • I held, throughout the financial year immediately preceding the date below, net assets to the value of £250,000 or more. Net assets for these purposes do not include:
  1. (a)the property which is my primary residence or any money raised through a loan secured on that property; or
  2. (b)any rights of mine under a qualifying contract of insurance; or
  3. (c)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 dependants are), or may be, entitled; or
  4. (d)any withdrawals from my pension savings (except where the withdrawals are used directly for income in retirement).

I accept that the investments to which the promotions will relate may expose me to a significant risk of losing all of the money or other property invested. I am aware that it is open to me to seek advice from an authorised person who specialises in advising on non-readily realisable investments.

or

A self-certified sophisticated investor is an individual who has signed, within the period of twelve months ending with the day on which the communication is made, a statement in the following terms:

SELF-CERTIFIED SOPHISTICATED INVESTOR STATEMENT

I declare that I am a self-certified sophisticated investor for the purposes of the restriction on promotion of non-readily realisable investments. I understand that this means:

  1. (i)I can receive promotional communications made by a person who is authorised by the Financial Conduct Authority which relate to investment activity in non-mainstream pooled investments;
  2. (ii)the investments to which the promotions will relate may expose me to a significant risk of losing all of the property invested.

I am a self-certified sophisticated investor because at least one of the following applies:

  1. (a)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 the date below;
  2. (b)I have made more than one investment in an unlisted company in the two years prior to the date below;
  3. (c)I am working, or have worked in the two years prior to the date below, in a professional capacity in the private equity sector, or in the provision of finance for small and medium enterprises;
  4. (d)I am currently, or have been in the two years prior to the date below, a director of a company with an annual turnover of at least £1 million.

I accept that the investments to which the promotions will relate may expose me to a significant risk of losing all of the money or other property invested. I am aware that it is open to me seek advice from someone who specialises in advising on non-readily realisable investments.

mgrInvestor Suitability