KYC form. Where certification of documents is required, the documents must be certified by a solicitor or notary 1.

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Transcription:

KYC fm Infmation required pursuant to know your customer obligations under paragraph (B) of Part A (Initial Conditions Precedent) of Schedule 1 (Conditions Precedent) to the Contract f Difference Standard Terms and Conditions should be provided to LCCC using this fm. Low Carbon Contracts Company Limited ( LCCC ) as the CfD Counterparty reserves the right to amend this document from time to time. It may also request me infmation from, such clarification of the infmation provided by, the Generat as LCCC considers necessary. Where certification of documents is required, the documents must be certified by a solicit notary 1. The purpose of this fm is to ensure that LCCC fully understands who owns and/ controls (whether directly indirectly) the Generat. It is therefe necessary f LCCC to be fully infmed of the chain of ownership leading to the ultimate persons entities that own and control exert significant influence over the Generat. As part of this requirement, it is necessary f LCCC to be provided with infmation in relation to any person entity who owns controls 25% me of the shares voting (other control rights) in over the Generat. Such a person entity may also be referred to as a Beneficial Owner. Part A - Complete this section on behalf of the Generat; and attach the requested suppting documentation. 1 Full name of the Generat Company: Limited Liability Partnership: Other, please state: 3 Registration number 4 Place of registration 5 Date of registration 6 Does the Generat have a VAT registration number? If yes, please provide number: 7 Full registered office address and, if different, principal place of business. Please provide proof of address. 2 Registered: Principal: Attached - 1 The certification must be dated, the name of the solicit notary must be clearly printed near the signature and the roll number other registered number (if any) of the solicit notary must be included. If the documentation is not in English, an English translation, certified as a true copy, must be provided. 2 An extract from the Companies House register will be sufficient f UK registered companies. F non-uk registered companies, the proof of address should be certified as a true copy. F all companies (wherever registered) a certified copy of a recent utility bill bank statement will be sufficient.

8 Provide the Generat s Certificate of Incpation, certified as a true copy 3 Attached - 9 List all Beneficial Owners 4 of the Generat Any Beneficial Owner(s)?: If yes, complete Part C separately f each Beneficial Owner Or In the case of a Beneficial Owner who is also a Parent Company 5, complete Part B f that Parent Company (instead of Part C). Other, please explain: 10 Where the Generat is part of a cpate group, provide details of group structure 6 Attached - 11 Provide the following details f each of the Generat s current Company Direct(s) 7 i) Full Name ii) Date of Birth iii) Nationality 12 Are any of the Generat s Beneficial Owner(s) Company Direct(s) Politically Exposed Person s? 8 If yes, provide details: 3 If the contracting entity is outside the UK, you should supply the equivalent certification in the country of registration, an English translation of the certification and have both certified as a true copy. 4 A Beneficial Owner, f the purposes of this fm, is a person (whether an individual legal entity) who owns controls 25% me of the shares voting rights in the Generat, the Parent Company the Ultimate Parent Company. 5 An entity will be a parent company in relation to another entity (a subsidiary ) if any of the following apply: it holds a majity of the voting rights in the subsidiary; it is a member of the subsidiary and has the right to appoint remove a majity of the subsidiary s board; it has the right to exercise a dominant influence over the subsidiary by virtue of provisions contained in the subsidiary s articles of association a control contract; it is a member of the subsidiary and controls alone, under an agreement with other shareholders members, a majity of its voting rights; it has the power to exercise, actually exercises, a dominant influence control over the subsidiary, the entity and the subsidiary are managed on a unified basis. 6 We would like an understanding of where the Generat sits within its group of companies, including the chain of ownership up to the ultimate Parent Company and the other companies in the group. This can be provided to us as a description as an ganogram. 7 This may be completed on a separate sheet of paper, if necessary, and presented as an annex. 8 A politically exposed person, f the purposes of this fm, is an overseas member of parliament, Head of State Government Government Minister.

13 Is the Generat a member of the Generat s group a licenced Generat? If yes, please: i) State name of licenced generat ii) iii) Type of Licence Date of grant of licence: 14 Have any proceedings ( analogous procedures) commenced in any jurisdiction in relation to any material regulaty breaches by the Generat? If yes, provide details: 15 Is the Generat the Generat s Parent Company ultimate Parent Company listed on the main market of the London Stock Exchange, other recognised Exchange? If yes, please attach details of listing and name of entity which is listed 9 16 Provide details of the Generat s bank. Name: If no, the Generat must f each Company Direct of the Generat and the ultimate Parent Company provide all the fms of identification required by Part C. Branch address: 17 Provide details of the Generat s external solicits, if any. 18 Provide details of the Generat s external audits, if any. Name: Address: Name: Address: Part B - Complete this section in respect of the Parent Company and ultimate Parent Company of the Generat; and attach the requested suppting documentation. 19 Full Name of Parent Company Parent: 20 Registration Number Parent: 21 Place of Registration Parent: 9 English translation certified as a true copy, if the Stock Exchange is outside the UK.

22 Date of Registration Parent: 23 VAT Registration Number? If yes, please provide number(s): Parent Company: 24 Registered office address and, if different, principal place of business 10. Parent registered address: Ultimate Parent Company registered address: 25 Beneficial Owner(s) 11 of the parent company and of the ultimate Parent Company? Beneficial Owner (s): Complete Part C f each Beneficial Owner Other, please explain: 26 Provide Certificate of Incpation, certified as a true copy 12 Parent Company - Attached - Ultimate Parent Company - Attached - 27 Provide the following details of all current Company Direct(s) 13 Parent Company: i) Full Name ii) Date of Birth iii) Nationality 28 Are any Beneficial Owner(s) Company Direct(s) Politically Exposed Person s? 14 If yes, provide an explanation: 10 See footnotes 1 and 2. 11 See footnote 4. 12 See footnote 3. 13 See footnote 7. 14 See footnote 8.

Part C - Complete this section separately in respect of each Beneficial Owner; and attach the requested suppting documentation. Where the Beneficial Owner is also a Parent Company Ultimate Parent Company, Part B should be completed f the Parent Company Ultimate Parent Company. Part C should be completed f all other Beneficial Owners of the Generat. 29 Full Name 30 Date of Birth (if an individual) Date of Incpation (if a company) 31 Nationality (if an individual) Place of Registration (if a company) 32 Full personal address (if an individual) Registered office and principal address (if a company): 33 If an individual, provide a permitted fm of photographic identification and proof of address, both to be certified (together with a certified translation into English where necessary). Permitted fms of proof: Current Passpt Current Driving licence and Utility bill Bank statement Companies House extract ( equivalent) Proof of address to be dated within the last three (3) months 34 If a company, provide:- Registration number Date of registration Place of registration Vat number (if any) Full address of registered office and principal place of business together with proof of address 15 15 See footnotes 1 and 2.

Certified copy of Certificate of Incpation equivalent 16 Names of all current directs, their date of birth and nationality List of Beneficial Owners and percentage ownership held by each * Without limiting its other rights to request further infmation, Low Carbon Contracts Company Limited may require further infmation to be given in relation to Beneficial Owners. Part D Complete this section separately f any other legal entity (not already mentioned in Part C) in the Generat s group company structure that is a Beneficial Owner (i.e. owns controls 25% me of the shares voting rights in the Generat, whether directly via another entity). 35 Full name; and fm of legal entity: 36 Registration Number: 37 Place of Registration: 38 Date of Registration: 39 VAT Registration Number (if applicable): 40 Registered office address and, if different, principal place of business 17 : Registered address: Principal place of business: 41 Provide the Foundation Deed 18 which sets out who owns and controls the entity, translated and certified as a true copy. 42 Provide the following details of all current Foundation ( other entity) members/ Directs and Beneficial Owner(s): i) Full name ii) Date of birth iii) Nationality 16 See footnote 3. 17 See footnotes 1 and 2. 18 This terminology is used f illustration purposes it may be called another name but it purpose will be governing documentation.

43 Do any Foundation members Beneficial Owner(s) fall into the categy of Politically Exposed Person s? 1. Photographic identification 2. Proof of Address, as required i) Individual(s) ii) Company iii) Parent Company iv) Ultimate Parent Company 3. Certificate of Incpation i) Company ii) Parent Company iii) Ultimate Parent Company 4. Proof of Listing 5. Annex I illustrating legal structure 6. Annex II of Direct(s) details Check List