Status related information
Mandatory disclosures in accordance with § 12 and § 12a of the Financial Investment Brokerage Regulation in conjunction with § 34f of the Trade Regulation Act

Mediator

Company: Innovestment GmbH

Anschrift: Friedrichstraße 68, 10117 Berlin, Deutschland

Legal representative: Christin Friedrich (Managing Director)

Phone: +49 (0) 30 / 577 010 870

Telefax: +49 (0) 30 / 577 010 879

E-Mail: [email protected]

Internet: https://www.innovestment.eu

Commercial Register

Register court: Local court Berlin (Charlottenburg)

Commercial register no.: HRB 160704 B

Entry in the register of brokers (§ 34f par. 5 in conjunction with § 11a par. 1 GewO)

Innovestment GmbH is entered in the register of brokers in accordance with § 34f (5) in conjunction with § 11a (1) GewO as a financial investment broker with a licence in accordance with § 34f (1) sentence 1 no. 3 GewO. Investors have the opportunity to verify the entry online in the register of intermediaries at the Internet address stated below as well as at the joint registry office of the Association of German Chambers of Industry and Commerce (DIHK) e.V. and the responsible registration authority by requesting the company name or registration number.

Register of intermediaries

www.vermittlerregister.info

Registration Number

D-F-107-5NE1-38

Registry Authority

Berlin Chamber of Industry and Commerce

Address: Fasanenstr. 85, 10623 Berlin, Germany

E-mail: [email protected]

Internet: www.ihk-berlin.de

Trade Licence and Licensing Authority

Innovestment GmbH has a trade licence in accordance with § 34f (1) sentence 1 no. 3 GewO (financial investment brokers).

Licensing Authority

Berlin Charlottenburg-Wilmersdorf District Office, Public Order Office

Address: Hohenzollerndamm 174-177, 10713 Berlin, Germany

E-mail: [email protected]

Internet: https://www.berlin.de/ba-charlottenburg-wilmersdorf/verwaltung/aemter/ordnungsamt/

Job Title

Financial investment brokers pursuant to § 34f (1) sentence 1 no. 3 of the German Trade,  German Trade Regulation Act  (Gewerbeordnung); Federal Republic of Germany.

Professional Regulations

  • Sections 34f, 34g, 157 of the German Trade Regulation Act  (Gewerbeordnung - GewO)
  • German Capital Management Act (Vermögensanlagengesetz - VermAnlG)
  • Financial Investment Brokerage Regulation (Finanzanlagenvermittlungsverordnung  - FinVermV)

The professional regulations can be viewed and called up via the homepage www.gesetze-im-internet.de operated by the Federal Ministry of Justice and juris GmbH.

Issuers and Offerors for whose Financial Assets Intermediation Services are Offered

Innovestment GmbH currently brokers investments from the entire breadth of the existing market in the Federal Republic of Germany, insofar as this is permitted within the scope of its license as a financial investment broker pursuant to § 34f (1) sentence 1 no. 3 GewO. Innovestment GmbH is not bound to specific issuers or providers. The issuers and providers for whose investments Innovestment GmbH offers brokerage services change regularly. The issuers and providers of the investments currently brokered by Innovestment can be viewed at https://www.innovestment.eu.

Conciliation Office

Deutsche Bundesbank - Conciliation Office -

Address: Postfach 100602, 60006 Frankfurt/Main, Germany

Phone: +49 (0) 69 / 9566 3232

Fax: +49 (0) 69 / 7090 9099 01

Internet: www.bundesbank.de

The European Commission also provides an online dispute resolution (OS) platform for resolving disputes between businesses and consumers. The platform can be found at: https://ec.europa.eu/consumers/odr

Innovestment GmbH is neither willing nor obliged to participate in dispute resolution proceedings before a consumer arbitration board.

Financial loss liability insurance

In accordance with legal requirements, Innovestment GmbH has a financial loss liability insurance policy that covers any losses due to errors in the brokerage of investments in accordance with the applicable insurance conditions.

Insurer

Insurance companies: Liberty Mutual Insurance Europe SE

Address: Im MediaPark 8, 50670 Cologne, Germany

Phone: + 49 (0) 221 / 5005 2201

Fax: + 49 (0) 221 / 5005 2299

Territorial scope: Europe

Information of the investor on remuneration and benefits

Innovestment GmbH does not demand any remuneration from investors either for registration on the platform operated under https://www.innovestment.eu (the "Platform") or for brokering transactions in investments.

However, investors have the option of setting up a premium account ("Innovestment Premium") to receive additional services and special benefits. For this, Innovestment GmbH charges investors an annual fee of EUR 50.00 (including VAT, where applicable). However, it is not necessary to set up Innovestment Premium in order to acquire the offered investments.

Innovestment GmbH receives and grants subsidies in connection with the proof and mediation of transactions concerning the acquisition and sale as well as with tipster activities. Grants are understood to be commissions, fees or other monetary benefits as well as all monetary benefits which a financial investment broker receives from the issuer or provider of a financial investment or from another third party for their brokerage or advice or which he grants to third parties.

Innovestment GmbH receives turnover and performance-based remuneration from the issuers of the investments offered on the platform for the brokerage of the respective investments, the organizational processing of the offer, the management of the investors and other related services. Such remuneration is charged by Innovestment GmbH in the form of one-off fixed remuneration, turnover or performance-related commissions and recurring, volume-related remuneration (see below: service fee). The aforementioned remuneration may be retained by Innovestment GmbH and is not to be handed over to investors.

Innovestment GmbH receives a one-time, non-performance-related setup fee of EUR 5,000.00 (plus VAT, if applicable) from the respective issuer for accompanying the execution of an issue. Furthermore, Innovestment GmbH shall receive a performance-related commission from the respective issuer in the amount of 5% of the brokered capital (plus VAT where applicable). Finally, Innovestment GmbH shall receive an annual service fee for organisational processing and investor support during the term of the contract in the amount of 0.5% of the brokered capital (plus VAT where applicable).

In connection with the proof of business contacts and transactions in investments as well as marketing/sales services, Innovestment GmbH grants third parties remuneration, in particular in the form of one-time, performance/turnover-related commissions.

Details of the grants received and granted by Innovestment GmbH can be found in the respective offer documents. Furthermore, Innovestment GmbH will provide more detailed information on the grants received and granted upon request.

Information on Potential Conflicts of Interest

In carrying out the business activities of Innovestment GmbH, in particular the brokerage of investments, conflicts of interest may arise between investors and

  • Innovestment GmbH,
  • the respective issuer and/or offeror of an investment offered;
  • the shareholders and investors of the respective issuer and/or provider of an offered investment;
  • the persons employed by Innovestment GmbH, an issuer, provider or cooperation partner
  • persons who are connected to Innovestment GmbH, an issuer, provider or cooperation partner through control.

In addition, conflicts of interest may arise if Innovestment GmbH, its managing directors, employees or shareholders have or have had an interest in the respective issuer and/or provider of an investment or if there are legal, economic or personnel links in any other way. In these cases, there is a risk that Innovestment GmbH will pursue its own or third-party economic interests and not exclusively consider the interests of investors. This could impair the objectivity of investment brokerage.

Further conflicts of interest may arise (i) when establishing contact between cooperation partners of Innovestment GmbH or other service providers and the investors or issuers or providers of the offered investments; (ii) when receiving or granting benefits, e.g. if these are dependent on the proceeds of the issue; (iii) when granting performance-related or performance-related remuneration, bonuses or other benefits to employees, vicarious agents or service providers of Innovestment GmbH and (iv) when receiving confidential information about investors or issuers of the offered investments.

Insofar as Innovestment GmbH receives benefits (e.g. turnover or performance-based commissions) from the issuers or providers of the offered investments, conflicts of interest may arise between Innovestment GmbH and the investors of these investments, as Innovestment GmbH has a fundamental economic interest in the highest possible issue proceeds due to the remuneration model.

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