Details on Common Stock Issued (as of May 22, 2018)

As of May 22, 2018, there are 93,000,402 Common Shares in issue. Of these, 70,958,259 shares are traded on AIM as PPIX and on the Over the Counter Market (USA) as STKR; 22,042,143 trade on AIM as PPIR, Reg S line under ISIN code USU743121142.

Shares issued under ISIN code USU743121142 (Restricted Shares) are subject to the conditions listed under section 903(b)(3), or Category 3, of Regulation S, including a one-year distribution compliance period. These shares may not be offered, sold or otherwise transferred to the United States, or to, or for the account or benefit of any US person, except pursuant to Regulation S, the registration requirements of the Securities Act or an exemption therefrom. In general, this restriction is automatically lifted on the first anniversary of the original issue date. Other than the selling restrictions described above, all Common Shares are the same class and have identical rights regardless of the ISIN code.

Unrestricted Shares:
ISIN code: US7434651060
Number of shares: 70,958,259
Ticker AIM: PPIX
Ticker OTC: STKR

Restricted Shares:
ISIN Code: USU743121142
No. of Shares: 22,042, 143
Ticker AIM: PPIR

Share Restrictions
To the knowledge of the Company, as of May 22, 2018, 28.69% of the Common Shares were “not in public hands”, as such expression is defined in the AIM Rules for Companies.

Shareholder Rights to Purchase Shares of Common Stock of ProPhotonix Limited

On August 28, 2014, the Board of Directors of ProPhotonix Limited (the “Company”) declared a dividend of one common share purchase right (a “Right”) for each outstanding share of common stock, par value $0.001 per share, of the Company (the “Common Stock”). The dividend is payable on August 28, 2014 (the “Record Date”) to the stockholders of record on that date. Each Right entitles the registered holder to purchase from the Company one share of Common Stock at a price of $0.30 per share of Common Stock (the “Purchase Price”), subject to adjustment, but only under certain circumstances as described in the Rights Agreement. The description and terms of the Rights are set forth in a Rights Agreement dated as of August 28, 2014, as the same may be amended from time to time (the “Rights Agreement”), between the Company and Computershare Trust Company, N.A., as Rights Agent (the “Rights Agent”).

Summary of the Rights AgreementRights AgreementAmendment to Rights plan, July 2017

Beneficial Ownership of Major Stockholders

ShareholderNumber of Ordinary SharesPercentage of Voting Rights
Mark Hawtin12,020,80612.93%
Tim Losik11,588,13712.46%
Gresham House Strategic plc4,993,4925.37%
Canaccord Genuity Group Inc4,993,4925.37%
Herald Investment Management Limited4,993,4925.37%
Miton Group plc4,993,4925.37%
Anthony Marchese3,471,5143.74%
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