Anthropic’s proposed initial public offering of its Class A common stock is expected to include retail offerings in Australia, Canada, certain member states of the European Economic Area (Denmark, Finland, France, Germany, Ireland, the Netherlands, Norway, Spain, and Sweden), Japan, Switzerland, and the United Kingdom. Anthropic does not currently intend to list its Class A common stock on any exchange in such international jurisdictions.
The following brokers, financial intermediaries, and selling agents are expected to participate in the proposed retail offerings in the international jurisdictions indicated below. In these jurisdictions, Anthropic has not authorized any other firm or platform to offer, or to advertise access to, shares in the proposed retail offerings. This page will be updated if the list changes.
Australia: Bell Potter, CommSec, LGT Wealth, Macquarie, Morgans, Morgan Stanley Wealth Management, Sharesies, Stake.
Canada: BMO Capital Markets, CIBC Capital Markets, Morgan Stanley, RBC Capital Markets, Scotiabank, TD Securities, Wealthsimple.
EEA and/or Switzerland: BNP Paribas, Crédit Agricole CIB (and affiliates), Deutsche Bank, eToro, flatexDEGIRO, Interactive Brokers, Nordnet Bank AB, Revolut, Saxo Bank, Trade Republic, UBS Investment Bank.
Japan: Mitsubishi UFJ Morgan Stanley (and affiliates), Mizuho, Rakuten, SBI.
UK: AJ Bell, eToro, Hargreaves Lansdown, Interactive Brokers, Interactive Investor, Revolut. RetailBook is acting as the Public Offer Platform (POP) operator and is coordinating the retail offer for the UK.
Disclaimers
Australia
This information is being provided in connection with the proposed initial public offering (“IPO”) of shares of Class A common stock in Anthropic, PBC (“Anthropic”). Should the IPO proceed, it is expected to include an Australian retail offer of newly issued Shares by Anthropic (“Australian Retail Offer”) that would be made under an Australian prospectus to be lodged with the Australian Securities and Investments Commission (“Australian Prospectus”). This information is not an offer, invitation, solicitation or recommendation to acquire Shares, and such information will not form part of the Australian Prospectus. It is provided only to alert persons to the potential IPO if such persons wish to be ready to consider the IPO once the Australian Prospectus is available. A copy of the Australian Prospectus will be made available at ipo.anthropic.com once the Australian Retail Offer opens and the securities described in this webpage are offered. Further information about Anthropic, the IPO, the securities and the risks of investing in Anthropic will be set out in the Australian Prospectus. Anyone considering applying for Shares under the Australian Retail Offer should read and consider the Australian Prospectus in full in deciding whether to acquire Shares under the Australian Retail Offer. Anyone who wants to acquire Shares under the Australian Retail Offer will need to complete the application form that will be in or will accompany the Australian Prospectus, in accordance with the process that will be set out in the Australian Prospectus and any other instructions given to them by their broker. Anthropic has applied to list its Class A common stock on the Nasdaq Global Select Market under the symbol “ANT”. Anthropic will not be applying for listing on the Australian Securities Exchange.
Canada
An amended and restated preliminary base PREP prospectus containing important information relating to the securities described in this webpage has been filed with the securities regulatory authorities in each of the provinces and territories of Canada and is accessible through SEDAR+ at www.sedarplus.ca.
The amended and restated preliminary base PREP prospectus is still subject to completion or amendment. Copies of the amended and restated preliminary base PREP prospectus may be obtained from RBC Dominion Securities Inc., 180 Wellington Street West, 8th Floor, Toronto, ON M5J 0C2, Attn: Distribution Centre, or via email at [email protected]. There will not be any sale or any acceptance of an offer to buy the securities until a receipt for the final base PREP prospectus has been issued.
This webpage does not provide full disclosure of all material facts relating to the securities offered. Investors should read the amended and restated preliminary base PREP prospectus, the final base PREP prospectus, the supplemented PREP prospectus and any amendment for disclosure of those facts, especially risk factors relating to the securities offered, before making an investment decision.
European Economic Area
This communication does not constitute a prospectus for purposes of Regulation (EU) 2017/1129, as amended (the “Prospectus Regulation”), and legal provisions in connection therewith. In connection with the proposed offering to the public to eligible retail investors in Denmark, Finland, France, Germany, Ireland, the Netherlands, Norway, Spain, and Sweden (the “Covered EEA Countries”), which is part of the offering described in this communication (the “European Public Offering”), this communication is an advertisement for purposes of the Prospectus Regulation and legal provisions in connection therewith.
The European Public Offering will only be made on the basis of the European Prospectus (as defined below). Eligible retail investors, which are individual persons or legal entities which do not qualify as qualified investors within the meaning of Article 2 point (e) of the Prospectus Regulation, in the Covered EEA Countries should not purchase or subscribe for any shares of Class A common stock referred to in this communication except on the basis of information in, and subject to the terms of, the prospectus to be issued by Anthropic in connection with the European Public Offering (the “European Prospectus”), which may differ from the terms set out in this communication. The European Prospectus will be, if and when approved by the German Federal Financial Supervisory Authority (Bundesanstalt für Finanzdienstleistungsaufsicht – “Bafin”), available on the website of Anthropic at ipo.anthropic.com (which will not display the European Prospectus until on or about the launch of the European Public Offering) and upon request of any investor and free of charge, a copy of the European Prospectus in electronic version shall be delivered to the relevant investor. The approval of the European Prospectus by the Bafin should not be understood as an endorsement of the securities. Potential investors in the Covered EEA Countries where the European Public Offering will be made should read the European Prospectus (including any documents incorporated by reference therein and any supplements thereto, if any) before making an investment decision in order to fully understand the potential risks and rewards associated with the decision to invest in the securities. Investment in shares entails numerous risks, including a total loss of initial investment.
In member states of the European Economic Area other than the Covered EEA Countries, this communication is only addressed to and directed at persons who are “qualified investors” within the meaning of Article 2 point (e) of the Prospectus Regulation. In addition, Anthropic may also offer any shares of Class A common stock in any member state of the European Economic Area in circumstances falling within the application of Article 1(4) of the Prospectus Regulation not requiring the publication of a prospectus.
Esta comunicación no constituye un folleto a los efectos del Reglamento (UE) 2017/1129, en su versión modificada (el “Reglamento de Folletos”), y las disposiciones legales relacionadas con el mismo. En relación con la propuesta de oferta pública a inversores minoristas elegibles en Dinamarca, Finlandia, Francia, Alemania, Irlanda, Países Bajos, Noruega, España y Suecia (los “Países del EEE Cubiertos”), que forma parte de la oferta descrita en esta comunicación (la “Oferta Pública Europea”), esta comunicación constituye un anuncio publicitario a los efectos del Reglamento de Folletos y las disposiciones legales relacionadas con el mismo.
La Oferta Pública Europea se realizará únicamente sobre la base del Folleto Europeo (según se define a continuación). Los inversores minoristas elegibles que sean personas físicas o jurídicas que no tengan la consideración de inversores cualificados en el sentido del artículo 2, letra e), del Reglamento de Folletos, en los Países del EEE Cubiertos no deberán comprar ni suscribir ninguna acción ordinaria de Clase A a las que se hace referencia en esta comunicación salvo sobre la base de la información contenida en, y de conformidad con los términos de, el folleto que emitirá Anthropic en relación con la Oferta Pública Europea (el “Folleto Europeo”), que podrá diferir de los términos establecidos en esta comunicación. El Folleto Europeo estará, en caso de ser aprobado por la Autoridad Federal de Supervisión Financiera de Alemania (Bundesanstalt für Finanzdienstleistungsaufsicht – “Bafin”) y a partir de ese momento, disponible en el sitio web de Anthropic en ipo.anthropic.com (dicho sitio web no mostrará el Folleto Europeo hasta la fecha de lanzamiento de la Oferta Pública Europea o en una fecha próxima a esta) y, a solicitud de cualquier inversor y de forma gratuita, se entregará al inversor correspondiente una copia del Folleto Europeo en versión electrónica. La aprobación del Folleto Europeo por Bafin no debe interpretarse como un respaldo de los valores. Los inversores potenciales en los Países del EEE Cubiertos donde se realizará la Oferta Pública Europea deberán leer el Folleto Europeo (incluido cualquier documento incorporado por referencia al mismo y cualquier suplemento al mismo, en su caso) antes de tomar una decisión de inversión, con el fin de comprender plenamente los riesgos y beneficios potenciales asociados a la decisión de invertir en los valores. La inversión en acciones conlleva numerosos riesgos, incluido el de la pérdida total de la inversión inicial.
En los Estados miembros del Espacio Económico Europeo distintos de los Países del EEE Cubiertos, esta comunicación se dirige exclusivamente a personas que sean “inversores cualificados” en el sentido del artículo 2, letra e), del Reglamento de Folletos. Además, Anthropic también podrá ofrecer acciones ordinarias de Clase A en cualquier Estado miembro del Espacio Económico Europeo en circunstancias incluidas en el ámbito de aplicación del artículo 1, apartado 4, del Reglamento de Folletos que no requieran la publicación de un folleto.
Japan
A securities registration statement relating to the initial public offering of shares of Class A common stock (“Securities”) in Japan has been filed with the Kanto Regional Finance Bureau in Japan; however, such registration statement has not yet become effective. Prior to the effectiveness of such registration statement, the Securities may not be acquired through, or sold in, the offering in Japan. Investors should carefully review the prospectus, and any amendment thereto (if any), to be prepared by Anthropic concerning the initial public offering of the Securities in Japan, which can be obtained from the selling agents in Japan prior to making any investment decision in connection with the initial public offering of the Securities in Japan.
Switzerland
This information is only directed at individual persons or legal entities which do not qualify as professional clients within the meaning of the FinSA (“eligible retail investors”) and which are resident or are located in Switzerland. This information constitutes an advertisement within the meaning of article 68 FinSA. It is not a prospectus within the meaning of the FinSA nor under any other applicable laws with respect to the public offering of Class A common stock of Anthropic to eligible retail investors in Switzerland (the “Swiss Public Offering”). Eligible retail investors in Switzerland should not purchase or subscribe for any shares of Class A common stock referred to in this information except on the basis of information in the European Prospectus to be issued by Anthropic for purposes of the European and Swiss Public Offerings. The European Prospectus will be, if and when approved by Bafin and deposited (Hinterlegung) with a Swiss prospectus office for automatic acceptance in accordance with article 54(2) FinSA, available free of charge on the website of Anthropic at ipo.anthropic.com (which will not display the European Prospectus, until on or about the launch of the European Public Offering). The approval of the European Prospectus by Bafin and/or the deposit of the European Prospectus with a Swiss prospectus office should not be understood as an endorsement of the securities.
Potential eligible retail investors in Switzerland should read the European Prospectus (including any documents incorporated by reference therein and any supplements thereto, if any) before making an investment decision in order to fully understand the potential risks and rewards associated with the decision to invest in the securities. Investment in shares entails numerous risks, including a total loss of the initial investment.
United Kingdom
The proposed offering to persons who are resident and physically located in the United Kingdom would be facilitated through Retail Book Limited’s (a firm authorised and regulated in the United Kingdom by the Financial Conduct Authority (the “FCA”) with firm reference number 994238 (“RetailBook”)) public offer platform and RetailBook’s network of intermediaries (the “Proposed UK Retail Offer”). The Proposed UK Retail Offer, if made, will be made by means of a regulated platform under paragraph 13 of Part 1 of Schedule 1 to The Public Offers and Admissions to Trading Regulations 2024 (the “UK POATRs”) and as a “qualifying public offer” as defined in, and meeting the requirements of, article 25DB of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001. The shares of Class A common stock which are the subject of this communication will not be admitted to listing on the Official List of the FCA nor admitted to trading on a regulated market or primary MTF (as such terms are defined in the UK POATRs) in the United Kingdom.
If the Proposed UK Retail Offer proceeds, a disclosure summary relating to the Proposed UK Retail Offer (the “Disclosure Summary”) and the preliminary prospectus will be made available to persons resident and physically located in the United Kingdom at app.retailbook.com/offers/anthropic-ipo. Whilst the preliminary prospectus is referred to as a “prospectus”, none of the preliminary prospectus, the Disclosure Summary nor any other document produced in connection with the Proposed UK Retail Offer or the offering of shares of Class A common stock which are the subject of this communication in any other jurisdiction is or will be a prospectus for the purposes of the UK POATRs or the Prospectus Rules: Admission to Trading on a Regulated Market sourcebook (the “UK PRM”) and none of these documents has been or will be approved by the FCA. The preliminary prospectus and the Disclosure Summary may not contain the same information as would be included in a prospectus for the purposes of the UK POATRs or the UK PRM. You should read the entirety of the Disclosure Summary and the preliminary prospectus (once available) before deciding whether to participate in the Proposed UK Retail Offer.
United States
In the United States, the proposed offering will be made only by means of a prospectus. Copies of the preliminary prospectus, when available, may be obtained from: Goldman Sachs & Co. LLC, Attention: Prospectus Department, 200 West Street, New York, NY 10282, by telephone at (866) 471-2526, or by email at [email protected]; or Morgan Stanley & Co. LLC, Attention: Prospectus Department, 180 Varick Street, 2nd Floor, New York, NY 10014.
A registration statement relating to these securities has been filed with the Securities and Exchange Commission but has not yet become effective. These securities may not be sold, nor may offers to buy be accepted, prior to the time the registration statement becomes effective. This webpage does not constitute an offer to sell or the solicitation of an offer to buy these securities, nor shall there be any sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction.