LLP Services / Bespoke 36 St George s Wharf 6 Shad Thames London SE1 2YS

Transcription

1 STELLALA R TAX PLANNING NIN STELLAR WIND ENERGY EIS FUND LLP Services / Bespoke 36 St George s Wharf 6 Shad Thames London SE1 2YS Telephone: + 44 (0) Fax: + 44 (0) Mobile : + 44 (0) info@llpservices.com Web: LLP Services Limited, which is authorized and regulated by the Financial Conduct Authority, FCA No: APPLICATION PACK

2 APPLICATION CHECKLIST An application cannot be processed until all the required information is provided and the forms are completed Have you fully completed all areas of the form? Have you fully completed an Identity Verification Certificate? Has the authorised adviser signed the Application Form in section 7a and the Identity Verification Certificate? Has the Applicant signed in section 6 and section 7b? Have the two pieces of identity verification been provided? Send your completed forms and enclosures to: Woodside Corporate Services Limited, 4th Floor, 50 Mark Lane, London EC3R 7QR CONTENTS Application Form Identity Verification Certificate Suitability Assessment Please contact Stellar on if you have any questions relating to the completion of the Application Form. 02 STELLAR WIND ENERGY EIS FUND APPLICATION PACK

3 Important Note This Application Form incorporates by reference the Information Memorandum published by Stellar Asset Management Limited, a limited company registered in England and Wales with registered number whose registered office is at 4 Princes Street, London W1B 2LE ( the Manager ) in connection with the Stellar Wind Energy EIS Fund ( the EIS Fund ) and all other documents published by the Manager which are expressed to be supplemental thereto (the Information Memorandum ). Unless otherwise stated or as the context shall otherwise require, defined terms and expressions used in this Application Form have the meanings ascribed to them in the Information Memorandum. Before You Invest Before completing this Application Form, you should carefully review and understand the Information Memorandum and the Investor s Agreement. Remember that the proposal is NOT suitable for everyone, the information in the offer documents does NOT constitute tax, legal or investment advice and you should seek your own independent advice. Minimum Investment The minimum investment is 15,000 and thereafter in multiples of 1,000. Who Can Apply? You can apply for an investment in the EIS Fund if: the Manager and the Administrator are satisfied that you can be assessed as a person who is capable of making his or her own investment decisions and understanding the risks involved by participating in the EIS Fund; you have received a clear written warning of the protections and investor compensation rights you may lose by doing so; and you have stated in writing, by signing this Application Form, that you are aware of the consequences of losing such protections. To do this, you can be assessed by your Financial Intermediary completing the Application Form and Identity Verification Certificate. Alternatively, if you do not have a Financial Intermediary you should complete the Suitability Assessment and complete an Application Form and Identity Verification Certificate. Please note that the EIS Fund, on the basis described on pages 18 to 20 of the Information Memorandum, is treated by the FCA as an Institutional Investor and accordingly as a per se professional client of the Manager for the purposes of setting the regulatory obligations which are owed by the Manager to Investors in common and who, accordingly, will not be regulatory clients of the EIS Fund Manager on an individual basis. You will be classified as an elective professional by Woodside Corporate Services Limited for the purposes of providing the administrative and safeguarding services. No further action is required in respect of this. INSTRUCTIONS FOR COMPLETING THE APPLICATION FORM Before completing this Application Form, please carefully review the Information Memorandum and the Investor s Agreement. Then follow the steps listed below. Please complete the Application Form in type or use block capitals (save for your signature) in black/blue permanent ink, and sign any changes you make. Do not erase any text or use whiteout. Read the acknowledgements and representations in the Application Form. If you have any queries, please contact Stellar on Arrange for a Financial Intermediary, authorised by the Financial Conduct Authority (FCA), to complete and sign the Application Form and Identity Verification Certificate. Alternatively, please complete and sign the Suitability Assessment, Application Form and Identity Verification Certificate. Execute and date this Application Form. Deliver or send the: Application Form (completed, executed and dated); Identity Verification Certificate and Suitability Assessment if you don t have a Financial Intermediary); and Your cheque or banker s draft made payable to Woodside Corporate Services re: Stellar EIS for the amount you wish to invest to the Administrator at the address above. Alternatively, Investor contributions can be sent by electronic transfer using the details below: Bank: Royal Bank of Scotland Sort Code: Account No: Please place the applicant s name in the reference. Keep a copy of the completed Application Form for your records. The Manager may decide, in its absolute discretion, to accept or reject the Application Form and will notify you of its decision. If you do not receive an acknowledgement of your application within 10 days of sending it to the address above, please contact Stellar on DATA PROTECTION By signing this Application Form, the Applicant hereby confirms that he/she consents to the use of their personal information as follows. Except as stated in the section of the Investor s Agreement titled Data Protection of the Information Memorandum and below, the Manager will not make the personal information provided by the Applicant as part of the application to become an Investor available to any person or entity outside the Manager without the Applicant s consent. This personal information will be stored on the databases of the Manager. This personal information may be used by the Manager to send the Applicant details of new and existing products (including by ) unless the Applicant notifies the Manager in writing that it may not be used in this way. The Manager is registered under the data protection laws of the United Kingdom. MONEY LAUNDERING REGULATIONS It is a condition that applications comply with the Money Laundering Regulations. The Manager or Administrator requires verification of identity from each Investor. Pending the provision of evidence satisfactory to the Manager or Administrator as to the identity of the Investor and/or any person on whose behalf the Investor appears to be acting, the Manager or Administrator may, in its absolute discretion, retain an Application Form lodged by an Investor and/or the cheque or other remittance relating thereto. Verification of identity is required, which may result in delay in dealing with an application and in rejection of the application. The Manager or Administrator reserves the right, in its absolute discretion, to reject any application in respect of which it considers that it has not received evidence of such identity satisfactory to it within a reasonable period. In the event of an application being rejected in any such circumstances, the Manager or Administrator reserves the right, in its absolute discretion, but shall have no obligation, to terminate any contract relating to or constituted by such Application Form (in which event the money payable or paid in respect of the application will be returned (without interest) to the account of the drawee bank from which such sums were originally debited). The submission of an Application Form will constitute an undertaking by the Investor to provide promptly to the Manager or Administrator such information as may be specified by it as being required for the purpose of the Money Laundering Regulations. The Receiving Agent may employ a search of electronic data reference sources in order to access information held electronically concerning the verification of the identity of an investor, including information held by certain government and consumer credit agencies where information provided may be retained. By completing the relevant application forms or entering into a contract with the Manager, investors acknowledge that the Receiving Agent may at any time initiate a search of information held electronically in order to verify investor identity. This also applies to bodies corporate, trusts and other legal arrangements, where it is required to establish the identity of any Directors, trustees, Controllers or Beneficial Owners who have greater than 25% control of the body corporate or property of the trust that are not named on the application. The Receiving Agent reserves the right to refuse any application to invest without providing any justification for doing so. STELLAR WIND ENERGY EIS FUND APPLICATION PACK 03

4 APPLICATION FORM STELLAR WIND ENERGY EIS APPLICATION FORM Make your cheque payable to Woodside Corporate Services re Stellar EIS and send it, together with this completed and signed application form and your money laundering documentation, as soon as possible, to Woodside Corporate Services Limited, 4th Floor, 50 Mark Lane, London EC3R 7QR. 1 Application I hereby apply to invest in The Stellar Wind Energy EIS Fund the following amount (Minimum investment 15,000 and multiples of 1,000) 2 Personal details Personal Application (USE BLOCK CAPITALS) Title: (Mr/Mrs/Miss/Ms etc) Forename(s): Surname: Address: Postcode: Country of residence: Date of birth: Do you have a National Insurance Number YES NO National Insurance No: Place of birth: Are you a US citizen or resident in the US for tax purposes? YES NO Eye colour: Home telephone: Fathers first name Mobile Tel: address: (required field for your online account) 3 Bank details Details of the bank account that you would like any funds to be credited to following withdrawal: Bank name and address: Postcode: Bank Sort Code: Account Name: Account Number: Building society reference: 04 STELLAR WIND ENERGY EIS FUND APPLICATION PACK

5 4 About the Adviser To be completed by the adviser. Adviser (USE BLOCK CAPITALS) Company: Administrator (USE BLOCK CAPITALS) Company: Title: (Mr/Mrs/Miss/Ms etc) Title: (Mr/Mrs/Miss/Ms etc) Forename(s): Surname: Telephone: Address: Forename(s): Surname: Telephone: Address: (Please use Advisers address ) Postcode: Postcode: FCA number: Are you part of a network/service provider? No Yes Name of network/service provider address for adviser charging statements No Yes Please provide the bank account details for Stellar to pay your adviser charges by BACS Account Name: Bank Sort Code: Correspondence by ? No Yes Account Number: Stellar reserves the right to withhold adviser/intermediary charges if we are not fully satisfied that you are authorised under the Financial Services and Markets Act 2000 or exempt from authorisation. 5 Adviser charges What type of investment is this? (Tick one box only) a. This is an advised investment - Please go to section headed Adviser charges below b. This is an execution-only investment (i.e. your intermediary is not providing you with advice) - Leave the rest of this section blank c. This is a direct investment (i.e. you are not submitting this application through an adviser/intermediary) - Leave the rest of this section blank If boxes b or c are ticked then the Suitability Assessment on page 7 of this pack will require completion. Adviser charges Please cross through this section if you do not need Stellar to facilitate adviser charges from this investment. Initial adviser charge (Fixed amount) or % Ongoing adviser charge (Per year) or % For details of Adviser charges please refer to page 14 of the Information Memoradum I agree to these Adviser Charges Applicant (SIGNATURE) STELLAR WIND ENERGY EIS FUND APPLICATION PACK 05

6 6 Declarations (a) By the Adviser/Intermediary. By signing this form, I agree that: (i) I am authorised and regulated by the Financial Conduct Authority (or the equivalent body in an EU member state) to advise on and transact in investments in the UK or the EU; (ii) I consent to Stellar and Woodside placing reliance on me in respect of performing suitability and appropriateness tests on behalf of the client and carrying out verification checks in line with the Money Laundering Regulations 2007 and JMLSG Guidance, as amended; (iii) I have discussed the investment in The Stellar Wind Energy EIS Fund with the Investor, including both the risks and benefits associated with such investment and am satisfied as to its suitability/appropriateness (as applicable) for the Investor s investment objectives; (iv) I will ensure that the investment continues to be suitable/appropriate (as applicable) for the Investor s investment objectives throughout the investment period so long as I remain as an appointed adviser to the Investor; (v) I have complied with the requirements of the Money Laundering Regulations currently in force and have duly completed the attached Identity Verification Certificate after carrying out the identification and verification checks to establish the identity of the Investor; (vi) I have read and understood the Stellar Terms of Business for Intermediaries; (vii) I agree to be bound by these Terms of Business; and (viii) As an Appointed Representative, I warrant and represent that my principal also accepts the Stellar Terms of Business for Intermediaries. Your Name: Stamp of Authorised Adviser: Signature: Date: D D M M Y Y Y Y (b) Applicant declaration Acknowledgements and Representations: (i) (ii) (iii) (iv) (v) (vi) I confirm that I am 18 years of age or older, and personally possess sufficient knowledge, experience and expertise in financial and business matters (including experience with investments of a similar nature to an investment in The Stellar Wind Energy EIS Fund) to be capable of evaluating the merits and risks of an investment in the The Stellar Wind Energy EIS Fund I acknowledge that the Manager is not providing advice on this investment and confirm that I have taken such independent advice(including from a Financial Intermediary) that I deem necessary or desirable. I confirm that I have read and understood the Information Memorandum (and in particular the section headed Risk Factors on pages 16 to 17 and the Investor s Agreement). I confirm that, in making my application, I am relying solely on the information contained in the Information Memorandum, the Investor s Agreement, and, as the case may be, the Suitability Assessment and my own enquiries, and not on any information or representation in relation to the proposal. I agree and undertake, if my application is accepted, to observe, perform and be bound by the provisions of the Investor s Agreement. I confirm that I wish to invest on the basis of an assessment that I have the expertise, experience and knowledge to make my own investment decisions and that I understand the risks involved in relation to the Fund. I am aware of the consequences of losing the protection and investor compensation rights that I lose by participating in the The Stellar Wind Energy EIS Fund on this basis. I confirm that I have read and understood the Important Notice in respect of my categorisation as someone who has the expertise, experience and knowledge to make their own investment decisions and to understand the risks involved in relation to The Stellar Wind Energy EIS Fund. in the Schedule on page 8 of this application pack and confirm that the Manager and the Administrator may rely on it. I acknowledge that this application form is not transferable or assignable. I confirm my agreement that this Application Form be governed by and construed in accordance with the laws of England and that the courts of England shall have exclusive jurisdiction to hear and determine any suit, action or proceedings and to settle any disputes which may arise out of or in connection with this Application Form and, for such purposes, I irrevocably submit to the jurisdiction of such courts. In addition, I irrevocably waive any objection which I might now or hereafter have to the courts of England being nominated as the forum to hear and determine any such suit, action or proceedings and to settle any such disputes, and agree not to claim that any such court is not a convenient or appropriate forum. (vii) I agree that the foregoing representations, warranties, agreements and acknowledgments shall survive the date of my admission to The Stellar Wind Energy EIS Fund and this Application Form shall be binding upon and inure to the benefit of all parties and their successors and permitted assignees. (viii) I agree that any term or provision of this Application Form which is invalid or unenforceable in any jurisdiction shall, as to such jurisdiction, be ineffective to the extent of such invalidity or unenforceability without rendering invalid or unenforceable the remaining terms or provisions of this Application Form or affecting the validity or enforceability of any of the terms or provisions of this Application Form in any other jurisdiction. (ix) (x) (xi) I undertake to notify the Manager immediately if there are ever any relevant circumstances of which the Manager should be aware in relation to managing my Investment. I confirm, in relation to my investment in The Stellar Wind Energy EIS Fund, that: I wish to seek EIS Relief; I am applying on my own behalf; I will notify The Stellar Wind Energy EIS Fund Manager of any investment with which I am connected within sections 166, 167, 170 and 171 of the Income Tax Act 2007; and I will notify the Manager if, within three years of the date of issue of shares by an Investee Company, I become connected with that Investee Company or receive value from it. If I have completed the box at part 5 of this Application Form, I am declaring and validating to the Manager the amount of the agreed fees specified therein and I am instructing the Manager to make or authorise (as applicable) payment of such adviser fee to my Financial Intermediary. This Application Form is executed and delivered as a deed on the date mentioned below: Name of Applicant: Signature of Applicant: Name and Address of Witness: Signature of Witness: Date: D D M M Y Y Y Y Share prices, their values and income may go up or down and investors may lose some or all of their original investment. Past performance and return illustrations should not be used as an indicator of future performance. 06 STELLAR WIND ENERGY EIS FUND APPLICATION PACK

7 STELLAR WIND ENERGY EIS FUND SUITABILITY ASSESSMENT For execution-only or direct clients only. The Financial Conduct Authority (FCA) rules require we have current information about your investment objectives, financial resources and personal background as may be necessary to ensure the extent of discretion exercised on your behalf remains suitable. Therefore please complete this questionnaire, sign it and return to us with your Stellar Wind Energy EIS Fund Application Form. SUITABILITY ASSESSMENT For a guide to our understanding of risks of an investment in The Stellar Wind Energy EIS Fund please see page of the Information Memorandum 1 Investor Assessment I certify to Stellar Asset Management Limited and to Woodside Corporate Services Limited that the answers give below are true, complete and accurate Investor Assessment In order for you Please insert your name: ( the Investor ) to participate in The Stellar Wind Energy EIS Fund, we must undertake an assessment of your expertise, experience and knowledge so as to give us reasonable assurance, in light of the nature of investments in complying funds such as The Stellar Wind Energy EIS Fund, that you are capable of making your own investment decisions and understanding the risks involved. This requires information to help us undertake this assessment. Additional information may be required. We will keep all information provided by you confidential. A clear written warning of the protections and investor compensation rights you may lose in being treated on this basis is set out below. Please be aware that we are unable to begin investing your contribution until we have received the completed and signed form. Investment Objectives Please review the investment objectives of The Stellar Wind Energy EIS Fund, set out on page 6 of the Information Memorandum and Schedule 1 of the Investor s Agreement and tick the box below to confirm that you are aware of and understand these objectives and that they are consistent with your own personal financial objectives in respect of your potential investment in The Stellar Wind Energy EIS Fund Your Profession: Position: Previous Profession: Retired: Your First Language (if not English): Investment Experience Your experience and understanding of various types of investments is a factor in determining the suitability of The Stellar Wind Energy EIS Fund for you. Please put a number in each box to indicate the number of years of personal experience you have had with particular types of shares. Large Quoted Companies: Years SEIS, EIS or VCT Investments: Years AIM-listed or Unquoted Companies: Years Smaller Quoted Companies: Years Number of Previous Shareholdings: Years In what capacity have you had this experience? (please tick) Shareholder: Other, please specify: Director: Adviser/consultant/audit or: Please list any company directorships you hold/have held in the last five years Current: Last five years: STELLAR WIND ENERGY EIS FUND APPLICATION PACK 07

8 Have you been in a network or syndicate of business angels for at least six months prior to today s date? (please tick and, if applicable provide details) Yes: No: Details: Please write opposite any other relevant details and/or experience that might help our assessment of you as having the expertise,experience and knowledge necessary to understand the risks of an investment in the Stellar Wind Energy EIS Fund, whose objective will be to invest in unquoted trading companies. Details: Inportant Notice in respect of Suitability Assessment The Information Memorandum relating to The Stellar Wind Energy EIS Fund describes arrangements for the appointment of Stellar Asset Management Limited ( the Manager ) of 4 Princes Street, London WlB 2LE as a discretionary investment fund manager to act on behalf of Investors who wish to make venture capital investments in EIS Qualifying Companies and to manage those investments in common on behalf of all such Investors. These arrangements together constitute The Stellar Wind Energy EIS Fund ( the EIS Fund ). The Manager is authorised to act as an investment fund manager in the UK by the FCA and their FCA registration number is As explained on pages of the Information Memorandum, the EIS Fund will be a per se professional client of the Manager for the purposes of determining which provisions of COBS will regulate the obligations owed by the Manager to Investors in common. You, as an Investor, will not be treated on an individual basis as a client of the Manager for regulatory purposes. Nonetheless, as venture capital investments can be high risk the Manager will only allow individuals to invest if they, in accordance with FCA rules, can normally be assessed as understanding the risks of investing in the EIS Fund. These are set out on pages of the Information Memorandum (Investors who complete the BIR Application Form should also read the Additional Risk Factors section in the BIR Application Pack). Participation in the EIS Fund is restricted to those individuals whom the Manager or their Financial Intermediary can categorise as having the expertise, experience and knowledge to make their own investment decisions and to understand the risks involved in relation to the EIS Fund. The Manager will owe you an obligation to ensure that the venture capital investments which they make comply with the investment policy and parameters set out in the Information Memorandum but not that they are suitable for your particular financial circumstances and portfolio; an obligation that would need to be discharged if the Manager were to classify you under FCA rules as a retail client. Please note that whilst the Manager will only act for the EIS Fund for regulatory purposes, you, as an Investor, will be treated as an elective professional client by the Administrator for the purpose of its provision of safeguarding and administration services to you in connection with your investment in the EIS Fund. As such the Administrator has no obligation to ensure that its provision of safeguarding and administration services to you are suitable for your financial circumstances and portfolio, an abligation that would need to discharge were it to categorise you as a retail client. Please note that the fact that a Financial Intermediary might treat you as a retail client under FCA rules for the purposes of his or her client relationship with you, does not prevent that Financial Intermediary from carrying out an assessment that you have the experience, expertise and knowledge required to understand the risks of investing in the EIS Fund. The following protections will not apply to you as an Investor in the EIS Fund: (i) The Manager and the Administrator will not be obliged to warn you of the nature of any risks involved in any potential investments in the EIS Fund. The key risks of investing in the EIS Fund are set out in section 1 of the Information Memorandum (and for those Investors completing the BIR Application Form, additional risks are set out on pages in the BIR Application Pack). (ii) The Manager and the Administrator will not be obliged to disclose the basis or amount of their charges for any services the Manager and the Administrator provide to you or on your behalf or the amount of any other income that the Manager and the Administrator may receive from third parties in connection with such services. The bases and amounts of the Manager s and the Administrator s charges are set out on page 14 of the Information Memorandum. (iii) The Manager and the Administrator will not be obliged to set out any of the prescribed contents, disclosures or risk warnings needed for retail customers in prospectuses, marketing brochures and other non-real time financial promotions material, nor will the Manager and the Administrator be subject to the restrictions that apply to a retail client in relation to unsolicited real time communications. (iv) The Manager and the Administrator will not be required to give you the warnings required for retail clients in relation to material which may lead you to deal with or use overseas firms which are not regulated by FSMA nor will the Manager have to satisfy itself that the overseas firm will deal with you in an honest and reliable way. (v) The Manager and the Administrator will also not be required to comply with the FCA rules relating to restrictions on and the content of direct offer advertisements. The following rules will be limited or modified in their application to you as an Investor in the EIS Fund. (vi) The majority of the FCA rules in relation to the form and content of financial promotions will not be applicable in respect of any financial promotion communicated or approved by the Manager. (vii) The Manager and the Administrator will not be required by the FCA to provide you with a periodic statement on the value and composition of your Investment in the EIS Fund where you have requested the Manager not to do so or where the Manager has taken reasonable steps to establish that you do not want it. We would however draw your attention to clause 8 of the Investor s Agreement, pursuant to which, in particular you will be provided with contract notes for each Investment transaction by the Manager and the Manager will send you a report relating to the EIS Fund, complying with the FCA rules, every six months. Reports will include a measure of performance in the later stages of the EIS Fund once valuations are available for the investments. Investments will be valued by the Manager in accordance with appropriate IPEVC Guidelines from time to time prevailing. (viii) The Manager and the Administrator will comply with FCA conduct of business rule 11.2 and, to the extent applicable and subject to the terms of the Investor s Agreement and in particular the provisions of clause 13 (Conflicts of Interest), take all reasonable steps to obtain, when making Investments, the best possible result for you taking into account the following execution factors: price, costs, speed, likelihood of execution and settlement, size, nature or any other consideration relevant to making investments. In doing this, the Manager will take into account the following criteria for determining the relative importance of these execution factors: the characteristics and investment strategy of the EIS Fund as described in the Information Memorandum; the rules of the EIS; and the normal commercial practice of the counterparties and strategic partners with which the lnvestee Companies will do business. In particular, factors such as the suitability, expertise and market position of counterparties and strategic partners may be more important than price in obtaining the best possible execution result in the context of achieving the investment objective. If it becomes apparent that you do not have the expertise, experience and knowledge to make your own investment decisions and understand the risks involved in relation to the EIS Fund, the Manager shall be entitled to terminate your Investor s Agreement pursuant to Clause If you have a complaint regarding the services provided under the Investor s Agreement you may raise the complaint with your Financial Intermediary or directly with the Manager by writing to the address shown in the Information Memorandum and the Manager shall endeavour to resolve the complaint speedily and efficiently and will reply to you in writing. As you will not be classified as a retail client of the Manager you may lose the right to access the financial ombudsman service. The Manager and the Administrator may have regard to your expertise when complying with the requirements under the regulatory system that communications must be clear, fair and not misleading. Please note that you are responsible for keeping the Manager and the Administrator informed of any change, which may affect your categorisation as a person who has the expertise, experience and knowledge to make their own investment decisions and to understand the risks involved in relation to the EIS Fund. 08 STELLAR WIND ENERGY EIS FUND APPLICATION PACK

9 IDENTITY VERIFICATION CERTIFICATE To be completed by a regulated UK intermediary when introducing business IDENTITY CERTIFICATE Individual Investor An identity verification certificate must be completed for all Applicants. Please complete both sides of the form. Name of Individual Investor: (in full) Current address: Current postcode: Contact tel number: Date of birth: (if applicable) If the Applicant has changed address in the last three years please provide the previous address. Previous address: Previous postcode: Please indicate with a tick ( ) whether the application was made on a face to face basis or non face to face basis I/We have verified the identity of the applicant and have : (a) seen the original documents and provided certified copies; (b) checked that any requiring a signature were pre-signed; (c) confirmed that any associated photograph of the applicant bore a good likeness to the applicant; and (d) included the relevant reference information or certified documentary evidence on/with this certificate. Full name of Regulated Firm: Name of Regulator: FCA Reference Number: Signed:* Name: Position: Date: Stamp of Adviser * Note that this certificate must be signed by the person who has seen the original documentary evidence. STELLAR WIND ENERGY EIS FUND APPLICATION PACK 09

10 EVIDENCE OF NAME AND ADDRESS We require as a minimum at least one of the evidence of name boxes to be completed and for at least one of the evidence of address boxes to be completed for all individual investors. Notes: (1) These items may be used to evidence address or identity but not both. (2) If this column is ticked, certified copies must be attached. When attaching certified copies of the evidence you do not need to also record the relevant details on this sheet. (3) For self-employed persons in the construction industry tax exemption certificate with photograph (C154 and C156). (4) Please delete as appropriate. This document must be issued by HM Revenue & Customs. A P45 or P60 issued by an employer is not acceptable for this purpose. (5) You must submit a certified copy of the search if you are relying on this as evidence of address. (6) The previous address should also be verified if the applicant has only been resident at the current address for less than three months. Other forms of evidence may be accepted. If in doubt please enquire. 10 STELLAR WIND ENERGY EIS FUND APPLICATION PACK

11 The Stellar Wind Energy EIS Fund provides UK taxpayers with an exciting opportunity to invest in a portfolio of EIS qualifying Investee Companies generating long term predictable returns from the operation of onshore wind farms in the UK STELLAR WIND ENERGY EIS FUND APPLICATION PACK 09

12 STELLAR ASSET MANAGEMENT LIMITED 4 Princes Street, London W1B 2LE t e info@stellar-am.com Authorised and Regulated by the Financial Conduct Authority STELLALA R TAX PLANNING NIN LLP Services / Bespoke 36 St George s Wharf 6 Shad Thames London SE1 2YS Telephone: + 44 (0) Fax: + 44 (0) Mobile : + 44 (0) info@llpservices.com Web: LLP Services Limited, which is authorized and regulated by the Financial Conduct Authority, FCA No: