

Duke Capital Limited ("Duke Capital", the "Firm") was founded in 2015 and is listed on the London Stock Exchange (AIM) with office in London and Toronto. Since inception, the Firm has focused providing hybrid capital solutions that incorporate a combination of long-term loans and minority equity financing to profitable, cash-flow-generative lower middle market companies, typically with EBITDA of £2–10 million. The investment strategy is to facilitate and provide hybrid credit to finance buy and build strategies, management buyouts, dividend recapitalizations, and other shareholder transitions of lower middle-market companies across United Kingdom, Western Europe, and North America. Since inception, Duke Capital has deployed more than ~£300 million across 22 investments, completed 8 realizations, and currently manages an active portfolio of 14 platform companies comprising more than 70 operating subsidiaries. Presenters: Neil Johnson, Executive Director and Chief Executive Officer Neil Johnson is an Executive Director and the Chief Executive Officer of Duke Capital. Neil is responsible for the overall strategic direction and performance of the company. He works closely with the other Board members and the Investment Committee, leveraging his extensive experience of originating, evaluating and structuring deals to deliver bespoke and flexible funding solutions for an underserved segment within the SME market. Neil’s 30-year career has been dedicated to supporting the inflow of capital into mid-market growth companies. During this time, he has raised over £5 billion in capital across the private and public markets, as an investment banker and through his own ventures. Neil is a graduate of the Richard Ivey School of Business at Western University and holds the designation of Chartered Financial Analyst. He is also the Founder and Chair of the UK Terry Fox Association, the UK affiliate of the global cancer research charity, to further the legacy of Terry Fox for the UK. Charlie Cannon Brookes, Executive Director and Chief Investment Officer Charlie Cannon Brookes is an Executive Director of the company and is focussed on deal origination, due diligence, execution and monitoring as well as UK plc responsibilities. Charlie has over 20 years investment experience and has advised and sat on the boards of several different funds, trusts and other publicly traded investment companies. Prior to Duke, he owned and was the CIO of Arlington Group Asset Management Limited which acted as the UK based, FCA regulated investment management company to the Arlington Special Situations Fund. Earlier in his career Charlie worked at Jupiter Asset Management, ABN Amro and Barclays de Zoete Wedd. Charlie holds a BA Honours degree in Economics & Politics from the University of Exeter.



