Stockdale Securities Limited Information

Stockdale Securities is a leading institutional stockbroking and corporate advisory firm focused on small and mid-cap companies. A trusted bridge between our corporate and institutional clients: •We provide focussed, sector specialised teams with topical intelligent insight •We enable companies to access capital to drive growth and fulfil their ambitions •We are an integrated business – our corporate, sales, trading and research teams stand together Our experienced team is dedicated to the success of its clients. Through establishing long-term and valued relationships, we deliver a quality and tailored service What we do For our corporate clients, in addition to acting as broker, we also provide financial advice and offer Sponsor and Nomad services for Main Market and AIM companies. Critically, we enable companies to access capital to drive growth and fulfil their ambitions. In the last 12 months we have been involved in over 20 transactions with a total value of over £1.5bn. We have dealing relationships with over 400 UK institutional investors for whom we provide in-depth, quality research, advice and trading services. How we do it All areas of the firm – sales, sales trading, trading, research and corporate finance & broking – work together to provide a fully integrated service which is tailored to the needs of our corporate clients, in a way that also helps their shareholders – our institutional clients – make money. Corporate broking done well is about relationships rather than transactions: taking the long view, not acting expediently; about teamwork not individuals and, above all, acting with integrity. Our focus We are focused on small and mid-cap companies in the following sectors: Financials High Growth Companies Investment Funds Oil & Gas, Mining Property, Construction & Support Services Technology & Media Who we are Stockdale is a private company and staff are shareholders in the business. Our main shareholder is Somers Ltd, which is an investment holding company specialising in the financial services sector with UK investments in asset management, asset financing and stockbroking. Somers’ shareholder equity as of 30 September 2014 was US$215m.