Investment Research Recommendation Disclosures
| Company Name |
Disclosures |
| AFC Energy |
1,2 |
| Ceramic Fuel Cells |
N/A |
| ITM Power |
N/A |
| Lombard Risk Management |
1,2 |
| Medilink-Global UK Ltd |
1,2 |
| MobilityOne |
1,2 |
| MTI Wireless Edge |
1,2 |
| Nasstar |
1,2 |
| Plant Impact |
1,2 |
| Proton Power Systems |
1,2 |
| Red Hot Media International |
1,2 |
| Scotty Group |
1 |
| Servision |
1,2 |
| Strategic Minerals |
1,2,5 |
| Swallowfield |
N/A |
| Symphony Environmental Technologies |
1 |
| Ultima Networks |
1,2 |
| Urals Energy |
1,2 |
| xG Technology Inc |
1,2 |
1. In the past 12 months, Allenby Capital Limited or its affiliates have had corporate finance mandates or managed or co-managed a public offering of the Relevant Issuer’s securities or received compensation for Corporate Finance services from the Relevant Issuer.
2. Allenby Capital Limited expects to receive or intends to seek compensation for Corporate Finance services from this company in the next six months.
3. The Investment Analyst or a person connected with the Investment Analyst has a long position in the shares or derivatives of the Relevant Issuer.
4. The Investment Analyst or a person connected with the Investment Analyst has a short position in the shares or derivatives of the Relevant Issuer.
5. As of the month end immediately proceeding the date of publication of this report, or the prior month end if publication is within 10 days following a month end, Allenby Capital Limited and/or its affiliates beneficially own 1% or more of any class of common equity securities of the Relevant Issuer.
6. A senior executive or director of Allenby Capital Limited or a connected person is an officer, director or advisor, board member of the Relevant Issuer and / or one of its subsidiaries.
7. Allenby Capital Limited’s Investment Analysts are paid in part based upon the profitability of Allenby Capital Limited which includes revenues derived from corporate finance clients. Under no circumstances is Investment Analyst remuneration linked to the success of individual corporate transactions, although Investment Analysts may be paid in part indirectly based on the profitability of the corporate finance division of Allenby Capital Limited.
8. Research recommendations are disclosed to the Issuer prior to release.
9. Unless otherwise stated the share prices used in research publications are taken at the close of business for the day prior to the date of publication.
10. Allenby Capital Limited’s Conflict of Interest Policy can be found at http://www.allenbycapital.com/conflicts_policy.html.
11. Allenby Capital Limited research recommendations published during the relevant quarter can be found at http://www.allenbycapital.com/company_research.html.
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