REG - AIM AOTI, Inc. - Schedule One Update - AOTI, Inc.

Affiliated ManagersAnnouncement

07/06/2024 09:00

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RNS Number : 5950R  AIM  07 June 2024

 

 ANNOUNCEMENT TO BE MADE BY THE AIM APPLICANT PRIOR TO ADMISSION IN ACCORDANCE
 WITH RULE 2 OF THE AIM RULES FOR COMPANIES ("AIM RULES")

 COMPANY NAME:
 AOTI, Inc.

 COMPANY REGISTERED OFFICE ADDRESS AND IF DIFFERENT, COMPANY TRADING ADDRESS
 (INCLUDING POSTCODES) :
 Principal place of business:

 3512 Seagate Way

 Suite 100

 Oceanside, CA 92056

 United States of America

 Registered address:

 7901 4th St N

 STE 300

 St. Petersburg, FL 33702

 United States of America

 COUNTRY OF INCORPORATION:
 United States of America

 COMPANY WEBSITE ADDRESS CONTAINING ALL INFORMATION REQUIRED BY AIM RULE 26:
 https://aotinc.net

 COMPANY BUSINESS (INCLUDING MAIN COUNTRY OF OPERATION) OR, IN THE CASE OF AN
 INVESTING COMPANY, DETAILS OF ITS INVESTING POLICY).  IF THE ADMISSION IS
 SOUGHT AS A RESULT OF A REVERSE TAKE-OVER UNDER RULE 14, THIS SHOULD BE
 STATED:
 Company business:

 Medical technology group with a proprietary therapy for the reduction in
 hospitalisations and amputations caused by non-healing wounds, particularly
 diabetic foot ulcers.

 Main country of operations: United States of America

 DETAILS OF SECURITIES TO BE ADMITTED INCLUDING ANY RESTRICTIONS AS TO TRANSFER
 OF THE SECURITIES (i.e. where known, number and type of shares, nominal value
 and issue price to which it seeks admission and the number and type to be held
 as treasury shares):
 Details of securities: TBC common shares with par value of US$0.00001 per
 share

 Transfer restrictions: Regulation S, Category 3

 Issue price: 132p

 Treasury shares: nil

 CAPITAL TO BE RAISED ON ADMISSION (AND/OR SECONDARY OFFERING) AND ANTICIPATED
 MARKET CAPITALISATION ON ADMISSION:
 Capital raise (primary): £19.5m ($25m)

 Capital raise (secondary): £15.6m ($20m)

 Market capitalisation on Admission: £140m

 PERCENTAGE OF AIM SECURITIES NOT IN PUBLIC HANDS AT ADMISSION:
 75.0%

 DETAILS OF ANY OTHER EXCHANGE OR TRADING PLATFORM TO WHICH THE AIM SECURITIES
 (OR OTHER SECURITIES OF THE COMPANY) ARE OR WILL BE ADMITTED OR TRADED:
 None

 THE COMPANY HAS APPLIED FOR THE VOLUNTARY CARBON MARKET DESIGNATION (Y/N)
 N

 FULL NAMES AND FUNCTIONS OF DIRECTORS AND PROPOSED DIRECTORS (underlining the
 first name by which each is known or including any other name by which each is
 known):
 Dr. Michael (Mike) Stephen Griffiths - Chief Executive Officer

 Anthony Matthew Moffatt - Chief Operating Officer

 Jayesh Pankhania - Chief Financial Officer

 Douglas William Frederick Le Fort - Non-Executive Chairman

 Anthony (Tony) Rhys Bourne - Non-Executive Director

 Dr. Ceri Elizabeth Morgan - Non-Executive Director

 Richard John Cotton - Senior Independent Director

 FULL NAMES AND HOLDINGS OF SIGNIFICANT SHAREHOLDERS EXPRESSED AS A PERCENTAGE
 OF THE ISSUED SHARE CAPITAL, BEFORE AND AFTER ADMISSION (underlining the first
 name by which each is known or including any other name by which each is
 known):
 % of ISC
 Shareholder                                Shares      Pre-IPO*  Shares      Post-IPO
 Richard M. Muller & Nathaly V. Muller      16,532,420  17.5%     14,168,784  13.3%
 Beatriz H. Pierson                         16,068,500  17.0%     13,704,864  12.9%
 Rene Hausler                               9,531,000   10.1%     7,167,364   6.7%
 Griffiths Family Trust**                   9,328,650   9.8%      6,788,054   6.4%
 Trust FBO Phillip Loori                    8,700,000   9.2%      8,244,459   7.8%
 Trust FBO Samantha Loori                   8,700,000   9.2%      8,617,173   8.1%
 I2R Medical Limited                        5,088,660   5.4%      4,090,442   3.8%
 Friedrich Schwab                           4,818,750   5.1%      4,336,875   4.1%
 Artemis Investment Management LLP          -           -         3,787,878   3.6%
 Wasatch Advisors, Inc.                     -           -         3,575,402   3.4%

 

 *Fully diluted

 **Mike Griffiths, CEO, is a beneficiary and trustee of the Griffiths Family
 Trust

 NAMES OF ALL PERSONS TO BE DISCLOSED IN ACCORDANCE WITH SCHEDULE 2, PARAGRAPH
 (H) OF THE AIM RULES:
 American Diabetes Association

 Society for Vascular Surgery Foundation

 (i)         ANTICIPATED ACCOUNTING REFERENCE DATE

 (ii)        DATE TO WHICH THE MAIN FINANCIAL INFORMATION IN THE
 ADMISSION DOCUMENT HAS BEEN PREPARED (this may be represented by unaudited
 interim financial information)

 (iii)       DATES BY WHICH IT MUST PUBLISH ITS FIRST THREE REPORTS
 PURSUANT TO AIM RULES 18 AND 19:
 (i)         31 December

 (ii)        31 December 2023

 (iii)       See below:

 HY24 - 30 September 2024

 FY24 - 30 June 2025

 HY25 - 30 September 2025

 EXPECTED ADMISSION DATE:
 18 June 2024

 NAME AND ADDRESS OF NOMINATED ADVISER:
 Peel Hunt LLP

 7(th) Floor, 100 Liverpool Street

 London EC2M 2AT

 NAME AND ADDRESS OF BROKER:
 Peel Hunt LLP

 7(th) Floor, 100 Liverpool Street

 London EC2M 2AT

 OTHER THAN IN THE CASE OF A QUOTED APPLICANT, DETAILS OF WHERE (POSTAL OR
 INTERNET ADDRESS) THE ADMISSION DOCUMENT WILL BE AVAILABLE FROM, WITH A
 STATEMENT THAT THIS WILL CONTAIN FULL DETAILS ABOUT THE APPLICANT AND THE
 ADMISSION OF ITS SECURITIES:
 https://aotinc.net

 THE CORPORATE GOVERNANCE CODE THE APPLICANT HAS DECIDED TO APPLY
 QCA

 DATE OF NOTIFICATION:
 7 June 2024

 NEW/ UPDATE:
 UPDATE

 

*Fully diluted

**Mike Griffiths, CEO, is a beneficiary and trustee of the Griffiths Family
Trust

 

NAMES OF ALL PERSONS TO BE DISCLOSED IN ACCORDANCE WITH SCHEDULE 2, PARAGRAPH
(H) OF THE AIM RULES:

American Diabetes Association

Society for Vascular Surgery Foundation

 

(i)         ANTICIPATED ACCOUNTING REFERENCE DATE

(ii)        DATE TO WHICH THE MAIN FINANCIAL INFORMATION IN THE
ADMISSION DOCUMENT HAS BEEN PREPARED (this may be represented by unaudited
interim financial information)

(iii)       DATES BY WHICH IT MUST PUBLISH ITS FIRST THREE REPORTS
PURSUANT TO AIM RULES 18 AND 19:

(i)         31 December

(ii)        31 December 2023

(iii)       See below:

 

HY24 - 30 September 2024

FY24 - 30 June 2025

HY25 - 30 September 2025

 

EXPECTED ADMISSION DATE:

18 June 2024

 

NAME AND ADDRESS OF NOMINATED ADVISER:

Peel Hunt LLP

7(th) Floor, 100 Liverpool Street

London EC2M 2AT

 

NAME AND ADDRESS OF BROKER:

Peel Hunt LLP

7(th) Floor, 100 Liverpool Street

London EC2M 2AT

 

OTHER THAN IN THE CASE OF A QUOTED APPLICANT, DETAILS OF WHERE (POSTAL OR
INTERNET ADDRESS) THE ADMISSION DOCUMENT WILL BE AVAILABLE FROM, WITH A
STATEMENT THAT THIS WILL CONTAIN FULL DETAILS ABOUT THE APPLICANT AND THE
ADMISSION OF ITS SECURITIES:

https://aotinc.net

 

THE CORPORATE GOVERNANCE CODE THE APPLICANT HAS DECIDED TO APPLY

QCA

 

DATE OF NOTIFICATION:

7 June 2024

 

NEW/ UPDATE:

UPDATE

 

 

 

 

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