SmartKem, Inc. — Director's Dealing 2021

Mar 5, 2021

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: SmartKem, Inc. (NONE)
CIK: 0001817760
Period of Report: 2021-02-23

Reporting Person: Octopus Investments Ltd. (10% Owner)
Reporting Person: Octopus Titan VCT Plc (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock, $0.0001 par value per share	6429932	Indirect
Common Stock, $0.0001 par value per share	46096	Indirect

Footnotes

F1: These securities are directly owned by Octopus Titan VCT Plc ("Octopus Titan") managed by Octopus Investments Limited ("Octopus") and may be deemed beneficially owned by Octopus as the sole manager of Octopus Titan. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F2: These securities are directly owned by Octopus Investments Nominees Limited ("Octopus Nominees") managed by Octopus and may be deemed beneficially owned by Octopus as the sole manager of Octopus Nominees. The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.