TEST Woodford Questionnaire

About You

Your postal address for correspondence:
Date of birth

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

1. How would you describe yourself as an investor in equities/funds: *
2. Did you invest in the WEIF? *
3. On what date(s) did you invest, and what amounts did you invest on these dates? (For values, please enter numbers only)

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

For values, please enter whole £s amount
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,
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? (For values, please enter whole £s amount)

35. If yes to Q.34, what dividends did you receive and when? (For values, please enter whole £s amount)

For values, please enter whole £s amount
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 a proportion (to be agreed) 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? *