Shareholder Information

UK City Code on Takeovers and Mergers

The Company is subject to the provisions of the City Code on Takeovers and Mergers.

Other exchanges and trading platforms

Trellus Health has not applied or agreed to have any of its securities admitted or traded on any other exchanges or trading platforms.

Number of AIM securities in issue

161,475,000 shares are issued, called up and fully paid. The Company holds no shares in treasury.
This figure should be used by shareholders as the denominator for the calculations by which they will determine if they are required to notify their interest in, or a change to their interest in, the Company, under the Disclosure and Transparency Rules.

Last updated 28 May 2021.

Significant shareholdings

On Admission

NameNumber of Ordinary SharesPercentage of Enlarged Share Capital

ISMMS

40,384,897

25.0%

Christopher Mills(2)

18,209,219

11.3%

Marla Dubinsky

8,750,500

5.4%

Laurie Keefer

8,759,351

5.4%

Director shareholdings

On Admission

NameNumber of issued Ordinary SharesPercentage of Existing Share Capital

Julian Baines(1)

2,375,836

1.5%

Marla Dubinsky

8,750,500

5.4%

Monique Fayad

4,017,702

2.5%

Niyum Gandhi

nil

nil

Erik Lium

nil

nil

Daniel Mahony

225,000

0.1%

Mike Salter (1)

1,126,026

0.7%

Christopher Mills(2)

18,209,219

11.3%

(1) Includes beneficial interests in Distribution Shares for Julian Baines and Mike Salter.

(2) Interests for Christopher Mills (CM) include his interests in Distribution Shares, and include those of his immediate family, the Oryx International Growth Fund Limited (“Oryx”) and the North Atlantic Smaller Companies Investment Trust PLC (“NASCIT”).

Harwood Capital Management (Gibraltar) Limited (“HCM”), of which CM is CEO, is the investment manager and adviser to Oryx, and CM is also a director and shareholder in Oryx.

Harwood Capital LLP, of which CM is the Chairman and Chief Executive Officer (and in which he is indirectly interested as the owner of a designated member of the LLP), is the investment adviser to NASCIT and CM is a director, shareholder and the Chief Executive and Investment Manager of NASCIT.

Shares not in public hands

Percentage of securities not in public hands: As at 28 May 2021 the percentage of AIM securities not in the public hands was 65.3%. The securities not in public hands include all substantial shareholders and the directors and senior management who are classed as persons discharging managerial responsibilities.

Restrictions in transfer of AIM Securities

There are no restrictions on the transfer of the Company’s ordinary shares except for shareholders who received distribution in specie from EKF Diagnostic Holdings plc.

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