Selected Margetts Unit Trusts

Additional Permitted Subscription (APS) ISA Application Form

The Selected Margetts Unit Trusts consists of four sub-Funds (referred to as Funds).

Margetts Providence Strategy Fund

The objective of the Margetts Providence Strategy Fund is to provide a balance of long term (more than 5 years) capital growth and increasing income (measured by annual monetary distribution per unit).

Margetts Opes Income Fund

To provide a total return to the investor through income distributions and capital growth over the medium and longer term.

This will be achieved through a diversified portfolio of collective investments in equity, equity linked and fixed interest

securities, or money market funds from anywhere around the world but expected to be predominantly UK funds. The Manager

will be able to select any economic sector in any geographic area at any given time.

Margetts Opes Growth Fund

To provide a total return to the investor on a medium risk basis over the medium to longer term. This will be achieved through

an actively managed spread of collective investment schemes investing predominantly in equity, equity linked and fixed

interest investments in various world markets.

Margetts Venture Strategy Fund

The objective of the Margetts Venture Strategy Fund is to provide long term (more than 5 years) capital growth through a portfolio of regulated collective investment schemes, that focuses on shares in high growth geographical areas.

Full details of the aims and objectives can be found in the full prospectus which is available from the Manager.

www.margetts.com Vat No. (GB) 795 0415 16

Registered in England No. 4158249

Authorised and regulated by the Financial Conduct Authority

HEAD OFFICE 1 SOVEREIGN COURT GRAHAM STREET BIRMINGHAM B1 3JR TELEPHONE: 0121 236 2380 FACSIMILE: 0121 236 2330

DEALING & REGISTRATION PO BOX 17067 BIRMINGHAM

B2 2HL

TELEPHONE: 0345 607 6808 FACSIMILE: 0121 236 8990

M A R G E T T S F U N D M A N A G E M E N T L T D

Treating Customers Fairly (TCF)

POLICY STATEMENT

At Margetts we are committed to treating our customers fairly. If you

ever feel that any treatment you have received from Margetts has

been unfair, either prior to investing with Margetts, during the

period of investment, or after you have sold the investment, then

please let us know and we will investigate the matter fully.

Examples of unfair treatment may include:

Misleading marketing information

Unclear documentation (which may be difficult to read or to understand)

Lack of information (either prior to, during or after the period of investment)

Poor service

Investments not performing in the manner you were led to believe

Our full TCF policy is available on request or at

www.margetts.com

Margetts Fund Management Limited

This document contains important information to assist you in making an investment with Margetts Fund Management Ltd. It should be read in conjunction with the Key Investor Information (KII) Document. Please note that nothing in this document is intended as financial advice. Margetts Fund Management Ltd does not provide financial advice, therefore if you are in any

doubt as to whether the Margetts Funds are suitable for you please contact an authorised and regulated financial adviser.

Margetts Fund Management Ltd (“Margetts”) is the Operator and Manager of a range of Authorised Unit Trust Schemes. These are diversified collective investment vehicles which pool assets to purchase a wide range of investments and form an underlying portfolio. The portfolio is divided into units which can then be bought and sold. Margetts Fund Manage-ment Ltd is authorised and regulated by the Financial Conduct Authority (“FCA”) under registration number 208565. Mar-getts Fund Management Ltd is also a recognised Plan Manager for Individual Savings Accounts (“ISAs”). Margetts’ registered address is 1 Sovereign Court, Graham Street, Birmingham B1 3JR.

Further information is contained in the ACD Terms and Conditions available from www.margetts.com or on request from Margetts.

Margetts Risk Rated Unit Trusts

Each Margetts Fund is an Authorised Unit Trust Scheme which is a diversified collective investment vehicle, authorised by the FCA and established in the United Kingdom. The Margetts Funds are classified as non-UCITS retail schemes, each of which has a specific aim which determines the investments they will make.

Accounting Periods

The annual accounting period of the Company ends each year on 31 December (the accounting reference date). The interim accounting period of the Company ends each year on 30 June.

Income Allocations

Income units are available for the Margetts Opes Income Fund and the Margetts Providence Fund. The income units go ex-dividend on 31 December (interim) and 30 June (year end). Dividends will be paid to unitholders two months after these dates. The other Funds do not have an income unit class and therefore any income received within the Fund will be included in the unit price and accounted for at the year-end date. Although no income will be received it is possible that you will be liable for tax on income reinvested within the Fund.

Competent Authority

The Margetts Unit Trusts are authorised and regulated by the Financial Conduct Authority, 25 The North Colonnade, Canary Wharf, London E14 5HS.

Valuation Point

We value the Funds at 8.30am on each working day. Units are valued on a bid / offer basis, which is derived by using the mid-market prices to value the Fund’s portfolio and dividing by the total number of units in issue at each valuation point.

How will charges and expenses affect my investment?

The annual and interim Report and Accounts also provide information with regard to all charges incurred by the Funds.

There are three types of charges applied to the Funds.

Ongoing Charges Figure (OCF)

This includes the Annual Management Charge and additional fees for activities such as custody of assets, depositary services, audit fees and regulatory fees. Where underlying funds are held, the ongoing charges of these funds is also included within the quoted figure. Factsheets contain regularly updated OCF figures.

Annual Management Charge (AMC)

This is the fee taken for the management of the Fund. Margetts Fund Management Limited receives a significant share of the annual management charge in respect of its services as the Investment Manager.

Initial Charge

‘R’ units/share classes do not have an initial charge.

The OCF figures are based on reasonable estimates.

Legacy unit classes are not quoted as they are not open to retail clients - information available on request.

Additional Permitted Subscription ISA

The Additional Permitted Subscription (APS) can be invested in line with APS ISA rules which may change from time to time in accordance with ISA Guidance. The APS limit is calculated in accordance with ISA guidance as amended 6 April 2018. If you select Margetts Fund Management as your APS ISA provider, an ISA transfer is allowed in accordance with ISA Guid-ance, however your subscription allowance cannot be moved.

Fund Name OCF AMC Initial Charge As At

Margetts Providence Strategy Fund R Acc 1.24% 0.695% Zero 31/07/2019

Margetts Providence Strategy Fund R Inc 1.24% 0.695% Zero 31/07/2019

Margetts Opes Income Fund R Acc 1.53% 0.750% Zero 31/07/2019

Margetts Opes Income Fund R Inc 1.53% 0.750% Zero 31/07/2019

Margetts Opes Growth Fund R Acc 1.34% 0.750% Zero 31/07/2019

Margetts Venture Strategy Fund R Acc 1.33% 0.695% Zero 31/07/2019

Checklist

AML Documents / Certificate of Verification of Identity / “We know the client documents”

Payment (Cheque or confirmation a bank transfer is being made)

Adviser Charge Facilitation Consent Form (if needed)

Regular withdrawal - additional letter of instruction needed

If encashing from your Margetts non-ISA holdings to pay for an ISA - include a signed letter of instruction

Guide

Checklist

AML Documents / Certificate of Verification of Identity / “We know the client” documents.

Payment - cheque or confirmation a bank transfer is being made.

Adviser Charge Facilitation Consent Form - if applicable.

Regular Withdrawal - additional letter of instruction required.

If encashing from Margetts non-ISA holdings to pay for an ISA investment - include a signed letter of instruction.

Page 5 Registration Page (must be completed)

Page 7 APS Transfer Form

Page 9 APS Investment Form

Investor Registration Form

REQUIRED FOR ALL INVESTMENTS AND TOP-UPS (PRIVATE CLIENTS)

Account Number (existing investors)

Title Investor Name (print)

Address

City/Town

Post Code

Country

National Insurance Date of Birth

Town/City of Birth

Country of Birth

CRS Declaration of Tax Residency Please indicate all countries in which you are resident for tax purposes and the associated Taxpayer Identification Number(s) in the below. Please see the CRS Portal for more information on Tax Residency.

Note: Provision of a Tax Identification Number (TIN) is required unless you are tax resident in a jurisdiction that does not issue a TIN.

Country/Countries of Tax Residence

Tax ID Number (for Non-UK Residency)

FATCA Declaration of U.S. Citizenship or U.S. Residence for Tax Purposes

Please tick either (a) or (b) and complete as appropriate.

a) I confirm that I am not a U.S. citizen or resident in the U.S. for tax purposes.

b) I confirm that I am a U.S. citizen and/or resident in the U.S. for tax purposes and my U.S. federal taxpayer identifying number (U.S. TIN) is as follows:

Source of Wealth: (Bonus/Income/Property/Gift/Inheritance/Other)

Declaration and Undertakings

I declare that the information provided in this form is, to the best of my knowledge and belief, accurate and complete.

I acknowledge that the information contained in this form and information regarding myself may be reported to the tax authorities of the country in which

this account(s) is/are maintained and exchanged with tax authorities of another country or countries in which I may be tax resident where those countries

(or tax authorities in those countries) have entered into Agreements to exchange financial account information.

I undertake to advise Margetts Fund Management Ltd promptly and provide an updated self-certification form where any change in circumstances occurs

which causes any of the information contained in this form to be incorrect.

I agree to be bound by the Margetts Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has been

completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with the most recently

issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s) selected below.

Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.

This application when accepted by Margetts will constitute a binding contract and be evidenced by the issue of a contract note or allocation letter. No other

acknowledgement will be issued at the time of application and only in the event of a query will there be further communication.

Signature Date

Print Name Capacity (Investor/POA)

Return to:

Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR

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APS Allowance Transfer Form Deceased Title Deceased Name (print)

Deceased Address

Deceased City, Town, State, Province or County

Deceased Postal/ZIP Code

Deceased Country

Deceased National Insurance

Deceased Date of Birth

Date of Death

Date of Marriage/Civil Partnership

Application to the Current ISA Plan Manager

To: The Manager

ISA Plan Manager Address including postcode:

ISA Plan Reference

This section must be completed to confirm the investor named on this application is eligible to make an additional permitted subscription to an ISA in respect of the deceased named on this application.

I (the investor) declare that: (i) I am the surviving spouse / civil partner of the deceased; (ii) I was living with the deceased within the meaning of Section 1011 of the Income Tax Act 2007 at the date of the deceased’s death (we were not separated under a court order, under a deed of separation, or in circumstances where the marriage or civil partnership had broken down);(iii) the subscription is made under the provisions of regulation 5DDA of the ISA regulations (additional permitted subscription)

Signature

Print Name

National Insurance

Date of Birth

Date

Capacity

Return to:

Margetts Fund Management Ltd, 1 Sovereign Court, Graham Street, Birmingham, B1 3JR

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ISA APS Payment Form

REQUIRED FOR ALL ISA APS INVESTMENTS AND APS TOP-UPS (PRIVATE CLIENTS)

I declare that:

(i) all subscriptions made, and to be made, belong to me;

(ii) I am 18 years of age or over;

(iii) I have not subscribed/made payments, and will not subscribe/make payments more than the overall subscription/payment limit in total to a cash ISA,

a stocks and shares ISA, an innovative finance ISA, and a Lifetime ISA in the same tax year;

(iv) I have not subscribed and will not subscribe to another APS stocks and shares ISA, and;

(v) I am resident in the United Kingdom for tax purposes or, if not so resident, either perform duties which, by virtue of Section 28 of the Income Tax

(Earnings & Pensions) Act 2003 (Crown employees serving overseas), are treated as being performed in the United Kingdom, or I am married to, or in a

civil partnership with, a person who performs such duties. I will inform Margetts Fund Management Ltd if I cease to be so resident or to perform such

duties or be married to, or in a civil partnership with, a person who performs such duties.

I will inform Margetts Fund Management Ltd promptly of any change in circumstances which affects any of this information.

I (the investor) wish to subscribe the below cash amount from my APS allowance in respect of the deceased and wish to make my subscription to a

Stocks & Shares / Cash ISA: In cash, Or; Where the APS allowance has not been transferred, in specie (by the transfer of existing ISA investments that

have remained with the ISA manager or his nominee) to the above amount or value as at date of death if lower.

Please be aware that once a subscription to an APS allowance has been made, any future subscriptions under that APS allowance MUST be made to

this ISA manager and be accompanied by an APS Subscription Eligibility Declaration. Not all ISA managers allow for multiple subscriptions to an APS

allowance and where only a one-off APS allowance subscription is allowed any unused balance will be lost.

Cheques should be made from a bank account in the account holder’s own name and made payable to “Margetts Fund Management Ltd”.

Lump Sum Payment £

Split across the below funds: Accumulation Distribution

Providence R % %

Opes Income R % %

Opes Growth R %

Venture R %

Distribution Mandate: Where Distribution shares have been selected, please provide bank details for payment:

I authorise Margetts Fund Management Ltd: (i) to hold my cash subscription, ISA investments, interest, dividends and any other rights or proceeds in respect of those investments; (ii) to make on my behalf any claims to relief from tax in respect of ISA investments; (iii) on my written request to transfer or pay me, as the case may be, ISA investments, interest, dividends, rights or other proceeds in respect of suchinvestments or any cash.

I agree to be bound by the Margetts ISA Terms and Conditions and accept they may be varied at the Account Manager’s discretion. The application has been completed to the best of my knowledge but should circumstances change I will inform Margetts immediately.

Please note that by signing this document you are confirming that you have read the Supplementary Information Document together with the most recently issued Key Investor Information Document(s) (or non-UCITS Retail Scheme Key Investor Information Document(s)), relevant to the Fund(s) selected below. Documentation is available on the Margetts website: www.margetts.com or by calling Margetts on 0121 236 2380.

This application when accepted by Margetts will constitute a binding contract and be evidenced by the issue of a contract note or allocation letter. No other acknowledgement will be issued at the time of application and only in the event of a query will there be further communication.

Signature

Print Name

Date

Account Number

Sort Code

Account Name

Bank Name

THIS DOCUMENT HAS BEEN ISSUED BY MARGETTS FUND MANAGEMENT LTD

August 2019