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Serious Fraud Office investigation into Patisserie Holdings Plc, associated entities and individuals

This questionnaire is part of an ongoing investigation into the activities of Patisserie Holdings Plc (“PHp”) which led to the suspension of trading of the company’s ordinary shares on AIM London Stock Exchange on 10/10/2018.

If you have received the link to this questionnaire it is because the Serious Fraud Office (“SFO”) believes you may have made an investment in PHp (CAKE).

The purpose of this questionnaire is to gain information from investors which might assist in the investigation. We intend to review the information provided and, if required, may contact you to request further details. This could be via an interview potentially resulting in a witness statement and/or victim impact statement.

Whilst completing the questionnaire it may be helpful to have all your relevant PHp documents on hand to refer to. These documents may include:

  • Any hardcopy or electronic (emails or SMS messages) between yourself and PHp or your brokers prior to and after the investment(s) you made;

  • Any booklets/brochures/other documents or financial information you relied upon to make your decision;

  • Any documents related to the purchase of shares such as Share Certificates and Transfer of Share documents;

  • Any notes of telephone calls you might have had with PHp members or brokers.

Please retain the documents or information you have relied upon in a safe place. Should we wish to speak to you further about your investment we may need to request to review and copy the documents for the purpose of progressing the investigation.

This questionnaire is being delivered via the HTTPS protocol. The connection from your browser to the server is encrypted and can be confirmed by checking for a small padlock icon in the address bar. Any information submitted to this questionnaire will be processed on the server before being encrypted and then securely delivered to the intended recipient within the SFO. Once processed, any supporting files or data will be deleted from the server.

Personal data collected from the submission of this questionnaire will be processed in accordance with the General Data Protection Regulation (GDPR) and Data Protection Act 2018. The information you provide to us may be shared with other law enforcement and regulatory bodies for use in this investigation. If you would like more information on how we process your personal data please see the SFO External Privacy Notices.

If you have any queries regarding completion of this form, please contact the SFO public enquiries team, who will be able to assist.

All fields marked with * are required.

Type of Investor

Investor/Company Details

If completing on behalf of an organisation please provide details of an individual from your organisation to act as a point of contact.

Are you making this report on behalf of an investor? If you are completing this on behalf of an organisation or holding company please select no.

Contact Address

Investor details

Contact Address

Can the SFO leave messages on your telephone answering machine/voicemail service?

PATISSERIE HOLDINGS PLC ('PHp') Investments

The Investor/Organisation named above...

There are times when the SFO may be required to contact you or pass on the information you have provided, where there are legal, regulatory or operational reasons to do so.

Investment details

Please indicate whether you have retained a record of these shareholders.

Share Ownership

Please insert the specified details of all your PHP shareholdings within the grid below. Multiple entries can be entered by clicking on the ‘+’ button.
Date of Purchase Number of Shares Purchased Total Price Paid Currency Unique Share Reference Number Name(s) Shares Held in

Shares sold

Where known, please insert details of the sale(s) of any PHp shares you held in the grid below. Multiple entries can be entered by clicking on the ‘+’ button.
Date of Sale Number of Shares Sold Total Sale Price Currency Unique Share Reference Number Name(s) Shares Held in
Do you still hold copies of share related documentation? i.e. ownership details, share certificates etc.
If you held shares as an individual or organisation did you use a third party when purchasing shares in PHp? Examples of third parties include holding companies, stockbrokers, banks or financial institutions providing advice and financial services etc.
Did you review any PHp Company Financial Information or Reports before purchasing or recommending shares in PHp?
Did you have any contact with anyone from PHp or associated companies at any time?
Please provide their name(s) and the position they held (if known)
Name Position
Please indicate how the contact with PHp personnel took place by checking all that apply

The SFO may need to contact you in the future to discuss your answers in more detail or take a witness statement. To enable us to do so please answer the following questions.

Would you be willing to be contacted for further interview?
Would you be willing to provide a written statement to be used as evidence if required?
Would you be willing to attend court to give evidence if required?

Needs Assessment

The SFO may need to contact you in the future to discuss your answers in more detail or take a witness statement. To ensure we can provide you with the support you may need it would help us if you could complete the following needs assessment.

Do you require an interpreter or other help with communication? This can include hearing difficulties?
Do you have any special needs or requirements concerning restricted mobility, physical disabilities or illness?
Do you have any special needs or requirements concerning a mental health disorder, disability or illness?
Do you have any other health conditions or issues that you feel we need to know about?

If you would like a copy for your records please do this now before you click submit. To do this, right click and print this page.

Once you have submitted your answers it will not be possible for you to save a copy for your record.

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