J O Hambro Capital Management Limited

Allegations: THIS REGULATORY ACTION RELATES TO THE LATE FILING OF CERTAIN SHAREHOLDING REPORTS. FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY, ALLEGED THAT J O HAMBRO CAPITAL MANAGEMENT LIMITED ("JOHCML") VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 4-3 OF THE NORWEGIAN SECURITIES TRADING ACT OF 29 JUNE 2007 NO. 75 ("NSTA"). UNDER NSTA, ANYONE WHOSE SHAREHOLDING IN A NORWEGIAN ISSUER EXCEEDS OR FALLS BELOW 5%, 10%, 15%, 20%, 25%, 1/3, 50%, 2/3, OR 90% OF THE SHARE CAPITAL OR VOTING RIGHTS SHALL NOTIFY THE ISSUER AND FINANSTILSYNET IMMEDIATELY OR WHEN THE PARTY BECOMES AWARE OR SHOULD HAVE BECOME AWARE. FINANSTILSYNET ALLEGED THAT: (1) JOHCML CROSSED THE 5% THRESHOLD FOR A CERTAIN SECURITY ON AUGUST 15, 2016, BUT DID NOT SEND NOTIFICATION UNTIL SEPTEMBER 6, 2016 AND (2) JOCHML FAILED TO HAVE IN PLACE APPROPRIATE PROCEDURES AND/OR SYSTEMS TO ENABLE IT TO PROACTIVELY IDENTIFY A DISCLOSURE OBLIGATION AND SATISFY IT IN A TIMELY AND COMPLETE MANNER. Status: Final Sanction Detail: NOT APPLICABLE Summary: ON AUGUST 31, 2017, FINANSTILSYNET ISSUED AN ADMINISTRATIVE ORDER THAT: (1) DETERMINED THE JOHCML NEGLIGENTLY VIOLATED NSTA BY FAILING TO SEND NOTIFICATION IN A TIMELY MANNER CONSISTENT WITH NSTA AND (2) IMPOSED AGAINST JOHCML AN ADMINISTRATIVE FINE OF NOK 150,000 (APPROX. $20,000).

Allegations: THIS REGULATORY ACTION RELATES TO THE LATE FILING OF CERTAIN SHAREHOLDING REPORTS. BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT ("BAFIN"), THE FINANCIAL SUPERVISORY AUTHORITY OF GERMANY, ALLEGED THAT J O HAMBRO CAPITAL MANAGEMENT LIMITED ("JOHCML") VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 21 OF THE GERMAN SECURITIES TRADING ACT ("THE ACT"). UNDER THE ACT, ANYONE WHOSE SHAREHOLDING IN A GERMAN ISSUER EXCEEDS OR FALLS BELOW 3%, 5%, 10%, 15%, 20%, 25%, 30%, 50%, OR 75% OF THE VOTING RIGHTS SHALL NOTIFY THE ISSUER AND BAFIN , WITHOUT UNDUE DELAY, AND WITHIN FOUR TRADING DAYS AT THE LATEST. BAFIN ALLEGED THAT: (1) JOHCML CROSSED THE 5% THRESHOLD FOR A CERTAIN SECURITY ON JANUARY 11, 2013, BUT DID NOT SEND NOTIFICATION UNTIL MARCH 8, 2013 AND (2) JOCHML FAILED TO HAVE IN PLACE APPROPRIATE PROCEDURES AND/OR SYSTEMS TO ENABLE IT TO PROACTIVELY IDENTIFY A DISCLOSURE OBLIGATION AND SATISFY IT IN A TIMELY AND COMPLETE MANNER. Status: Final Sanction Detail: NOT APPLICABLE Summary: ON SEPTEMBER 18, 2017, BAFIN ISSUED AN ADMINISTRATIVE ORDER THAT: (1) DETERMINED THE JOHCML NEGLIGENTLY VIOLATED THE ACT BY FAILING TO SEND NOTIFICATION IN A TIMELY MANNER CONSISTENT WITH THE ACT AND (2) IMPOSED AGAINST JOHCML AN ADMINISTRATIVE FINE OF EUR 30,000 AND FEES AND EXPENSES (FOR PROCEDURAL COSTS) OF EUR 1,503.50 (TOTALING APPROX. $37,350).

Allegations: THIS REGULATORY ACTION RELATES TO THE LATE FILING OF CERTAIN SHAREHOLDING REPORTS. BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT ("BAFIN"), THE FINANCIAL SUPERVISORY AUTHORITY OF GERMANY, ALLEGED THAT J O HAMBRO CAPITAL MANAGEMENT LIMITED ("JOHCML") VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 33 OF THE GERMAN SECURITIES TRADING ACT ("THE ACT"). UNDER THE ACT, ANYONE WHOSE SHAREHOLDING IN A GERMAN ISSUER EXCEEDS OR FALLS BELOW 3%, 5%, 10%, 15%, 20%, 25%, 30%, 50% OR 75% OF THE VOTING RIGHTS SHALL NOTIFY THE ISSUER AND BAFIN, WITHOUT UNDUE DELAY, AND WITHIN FOUR TRADING DAYS AT THE LATEST. BAFIN ALLEGED THAT: (1) JOHCML CROSSED THE 3% THRESHOLD FOR A CERTAIN SECURITY ON APRIL 18, 2019, BUT DID NOT SEND NOTIFICATION UNTIL MAY 21, 2019, AND (2) JOHCML FAILED TO HAVE IN PLACE APPROPRIATE PROCEDURES AND/OR SYSTEMS TO ENABLE IT TO PROACTIVELY IDENTIFY A DISCLOSURE OBLIGATION AND SATISFY IT IN A TIMELY AND COMPLETE MANNER. Status: Final Sanction Detail: NOT APPLICABLE Summary: ON NOVEMBER 5, 2020, BAFIN ISSUED AN ADMINISTRATIVE ORDER THAT: (1) DETERMINED THAT JOHCML NEGLIGENTLY VIOLATED THE ACT BY FAILING TO SEND NOTIFICATION IN A TIMELY MANNER CONSISTENT WITH THE ACT AND (2) IMPOSED AGAINST JOHCML AN ADMINISTRATIVE FINE OF EUR 120,000 AND FEES AND EXPENSES (FOR PROCEDURAL COSTS) OF EUR 6,000 (TOTALLY APPROXIMATELY $148,680).