AIM information and investor relations

Principle Capital is an independent investment management and advisory group. The main operations are focused on the provision of alternative asset fund products. We have offices in Geneva, London, Berlin, Johannesburg, Cape Town, Durban and Beira.

The information below is being disclosed for the purposes of AIM Rule 26 and was last updated January 2009.

Press releases


Description of our business


Responsibilities of the members of the board of directors

Our current constitutional documents:

Articles of Association (3,170 KB pdf)

Our most recent admission document:

AIM admission document (227k pdf)

Details of our nominated adviser and other key advisers

Shares in the company are not traded on any trading platform other than AIM.

Principle Capital is a Luxembourg incorporated company and as such shareholders' rights may vary from those of a UK incorporated company. The group's operation derives mainly from funds operated in the UK and Isle of Man.

Except as stated below, shares in the company are not subject to any restriction in respect of transfer and are transferable free of charge.

The Directors may refuse to accept a transfer of the company's shares (other than pursuant to a normal stock exchange transaction) if they believe that the transfer was executed where:

  • the shareholder concerned did not act of his own volition;
  • the transfer was executed pursuant to a confiscating or expropriatory act of a foreign authority; or
  • the transfer was executed pursuant to compulsory transfer under the laws of a foreign jurisdiction for no consideration or for a consideration which would be regarded as inadequate in normal business practice.

Shares held in certificated form may be transferred by written transfer in a form acceptable to the directors of the company. Shares held in uncertificated form may be transferred in accordance with the practices of the relevant system. Any written instrument of transfer must be signed by or on behalf of the transferor and the transferee. The registration of transfer of shares may be suspended and the share register closed for not more than 30 days in any year.

As at 30 June 2009, 61.21% of Principle Capital Holdings S.A. shares are not in public hands.

Pursuant to AIM Rule 17, the company must notify the market without delay of any change to any legal or beneficial interest, whether direct or indirect, (a "holding") in 3% or more of the shares of the company which increases or decreases any such holding through any single percentage. Shareholders are requested to notify the company of any such changes in their holdings so that the company will be able to comply with this requirement.

Statutory disclosure of significant shareholdings may be different from the AIM Rules requirement referred to above and accordingly may not always enable the company to comply with this requirement. However, shareholders are reminded of the notification requirements set out in article 10 of the company's articles of association, their compliance with which should enable the company to comply with the AIM Rules requirement referred to above.